Getting Game Day Ready in Wichita Falls

Wichita Falls, TX October 27, 2021

CDLP Chair:

Adam Kobs - San Antonio

CDLP Vice Chair:

Monique Sparks - Houston

Texas Criminal Defense Lawyers Association

Game Day! How to Tackle Any Courtroom Situation Table of Contents

-Speaker

Topic October 27, 2021

Amber Vazquez Ryan Brown Jeremy Rosenthal Joe Stephens Thomas Wynne

Kick-Off & Red Zone | Open and Closing Arguments Scouting | Voir Dire Scrimmaging | Pre-Trial Investigations Lunch Presentation: Keep Your Head in Game | Mental Health Instant Replay | Technology in the Courtroom

Jolissa Jones

Special Teams | Experts & Witnesses

Carol Camp

Rules of the Game/Penalties | Client Relationships & Communications

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas

Topic: Kick-Off & Red Zone | Open and Closing Arguments

Speaker:

Amber Vazquez 608 W 12th St Austin, TX 78701-1735 (512) 220-8507 phone (512) 480-0670 fax amber@criminallawaustin.com

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Scouting | Voir Dire

Speaker:

Ryan Brown

718 SW 16th Ave Amarillo, TX 79101-4026 (806) 371-8333 phone (806) 350-7718 fax brown@blackburnbrownlaw.com

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Maximizing Strikes for Cause

Getting Game Day Ready October 27, 2021 Wichita Falls, Texas

GET RID OF ‘EM: MAXIMIZING STRIKES FOR CAUSE

Speaker:

Ryan Brown

Blackburn & Brown, L.L.P. 1222 S. Fillmore St. Amarillo, Texas 79101 806.371.8333 brown@blackburnbrownlaw.com

My Approach and Overview As I was struggling with what to name this talk, I thought through the

development and origins of the ideas which inspired this presentation.

We have all heard that every case is won or lost in voir dire. You will hear

proponents of this traditional view also say that voir dire is an opportunity to educate

the jury, humanize your client, and get enough information out of the jurors to

intelligently exercise your peremptory strikes. I think this view and approach is no longer effective as it once was.

The only cases that go to trial these days, in my experience, are the bad ones.

The good ones are dismissed or a plea offer is made the client can’t refuse. The cases

that do make it to trial involve bad facts, worse clients, lots of prior convictions, or all of the above and more.

Criminal cases inspire strong emotions in people. These emotions are shaped

years and often decades before voir dire begins. It is foolish to think you can educate away these biases and prejudices, which we all have in some form, during voir dire.

Cases are thus decided long before voir dire begins.

This complex problem is made more so in the age of COVID. The jurors that

show up are less representative of the community as a whole than they were before

the pandemic. These facts can be good but are usually bad for your client. It is important to consider this when thinking about voir dire in your next case.

It is our job to artfully craft questions that elicit open and honest responses so

we can get rid of as many jurors as we can. We are not there to play nice and teach the jurors.

2

I did not come up with these ideas originally. This approach originated with

the Colorado method, a philosophy and technique made famous by the Colorado

Public Defender’s office for being used in death penalty cases. However, the Colorado

Method, as I came to discover, can and should be used in every day in non-capital cases.

There is another, slightly different, but in some ways better approach that

builds on the pioneering work of the Colorado folks. It’s called the “Strike for Cause” method. It was developed by an exceptionally creative and able Austin lawyer named

Robert Swafford (see http://www.strikeforcause.com/ ). Mr. Swafford has been

extremely helpful to me in getting this presentation together. He is a pioneer in jury selection and an expert in his field. I highly recommend hiring him to help you on any

cases you have where your client can afford it, or getting him to speak at your local

bar association. I think we need to know about his approach as well as that of the Colorado P.D., and I intend to talk about it and share some of his insights as well.

I guess a good title for this talk would be: “How the Colorado Public

Defender and Robert Swafford Have Revolutionized the Practice of Criminal

Law by Shifting the Approach We Take on Voir Dire Away From Being Nice to Getting Rid of As Many Prospective Jurors As We Possibly Can”.

Or maybe not.

The Materials Since I wasn’t smart enough to come up with this bold technique on my own, I

have decided the best thing to do is let the people who did speak for themselves.

3

Robert Swafford was generous enough to share his written materials with us

and I am including them here. I’ve attached three full copies of articles about his methods in criminal cases which I have only edited together: 1. “Maximizing Strikes for Cause in Criminal Cases”;

2. “Maximizing Strikes for Cause for Mitigation and Sentencing”;

3. “How to Get and Keep Strikes for Cause or Preserve Errors When You Lose Them”.

If you want to understand the origin and death penalty application of the

Colorado Method, you need to read an excellent article from The Champion called

“Overview of the Colorado Method of Capital Voir Dire” by Matthew Rubenstein. It can

be

found

at

http://www.nhd.uscourts.gov/pdf/FPI/Overview%20CO%20Method%20Capital% 20Voir%20Dire.pdf .

Finally

Some of the best, most cutting-edge approaches to criminal defense today are

being developed by public defenders- it’s no accident that the “Colorado Method” came into being by the efforts of the Colorado P.D. For those of you who want to find huge amounts of material on what our comrades are doing around the country on this

and countless other issues, I strongly recommend that you join the National Association of Public Defense (NAPD) (http://www.publicdefenders.us/). The dues

are $25.00 (!) per year, the website is great, and the insight you will derive from being part of this outfit is unique and irreplaceable.

4

MAXIMIZING STRIKES FOR CAUSE IN CRIMINAL CASES BY ROBERT R. SWAFFORD I. INTRODUCTION This paper will introduce an approach to jury selection that is radically different from

previous methods. Historically, lawyers used Voir Dire as an opportunity to try to sell their case. With the advent of jury consultants trained in psychology, methods arose which

emphasized using Voir Dire as an opportunity to obtain information that would be useful in exercising preemptory strikes. While both of these approaches have laudable goals, they are limited in their effectiveness.

The approach proposed in this paper places as its primary goal maximizing strikes

for cause. By careful drafting and utilization of questions and appropriate follow-up, a lawyer can significantly and consistently increase the number of strikes for cause he can obtain. The

steps required to achieve this result are the following: accurately analyzing the hot-button issues in a case; drafting appropriate questions; effectively asking the questions; and, finally, nailing down the strike for cause.

This method is effective in any type of case. However, it is especially important for a

lawyer who is trying criminal cases. There are few types of cases that arouse such strong emotional reactions as criminal cases. Both because of intense media coverage and because of many individual’s intense personal experiences, the criminal justice area is one in which is it especially important to control the jury selection process.

Before explaining the “Strike for Cause” method of jury selection, it is important to

address the reasons why this approach is superior to previous strategies. The traditional

approach to jury selection was primarily concerned with two things: first, getting a head start in placing a litigant’s theory of the case before the jury, and, second, not poisoning the jury

5

pool with attitudes that are contrary to one’s position. This concern with persuading the jury pool during Voir Dire was fueled in part by a misreading of a study which indicated that jurors had made up their minds as to who should win a trial by the end of Voir Dire. Many people

took this to mean that the lawyer must persuade the jury in Voir Dire, or they have lost the case. A more accurate reading of that study would indicate that the venire persons had made up their mind about the issues of the case before they had walked into the courtroom. It is

absurd to think that what a lawyer says in a brief address to a jury pool can come close to

being as important as the life experiences and attitudes that the potential jurors brought with

them to the courthouse. To give an example that would resonate with a trial lawyer, ask yourself if you would rather have a jury made up of members of the ACLU, or instead be given

an opportunity to present a one and a half hour speech. Any criminal defense lawyer would

choose to have a jury that is prejudiced in his favor than to have yet another speech. The

same is true for prosecutors. There is an inherent conflict, however, between the desire to maximize strikes for cause and the desire to persuade a jury panel. It is essential in order to

obtain strikes for cause to get jurors saying bad things about your side of the case. This is the only way to expose prejudice and, ultimately, to have them struck for cause. Not only do you

have to risk poisoning the jury pool by venire persons making statements antithetical to your theory of the case, you must also restrain yourself in selling your case. Individuals are much

less likely to express their strongly held opinions if they believe they are going to get into an argument with a lawyer in public. These dangers inherent in the “Strike for Cause” method

are more than made up for by the advantage of having ten, fifteen, and, in some cases, as many

as twenty strikes for cause, while your opposing counsel is limited to one or two. Through the process of elimination, you can guarantee the best jury possible out a given panel.

6

II. IDENTIFYING HOT-BUTTON ISSUES The first step in any case is to identify the emotional issues on which jurors will be

deciding your case. If one has tens of thousands of dollars to spend on a case, this information can be obtained through the use of focus groups, mock trials and polling. It is dangerous,

however, to rely too heavily on the information gleaned from these methods. There is a

temptation to believe that if an individual in your focus group holds a certain opinion, then someone on a jury panel with similar demographics will hold the same opinion. There are no focus groups that have a large enough sample size to be predictive of what individuals on a

jury panel are likely to believe. The only purpose of a focus group is to discern what issues may be of importance to a jury that would not be important to an attorney.

If a case does not justify the expense of a focus group, there are other alternatives that

are at least as effective. One option is to develop a brief summary of the case, and then ask friends and family members what they think about the case without revealing your role in the case. Try to be as neutral as possible and include facts that you don’t think are relevant, but might be important to a non-lawyer. Have staff members do the same thing. If you are a criminal defense lawyer, call your one Republican friend, and ask his opinion. If you are a

prosecutor, call your one Democrat or Green Party friend and ask her opinion. Be careful not to argue with the individual who is helping you. Encourage them to express their opinions fully with follow-up questions. Listen more than you talk.

Another very effective technique is to interview former jurors who have heard and

decided cases similar to yours. For example, send out a query on a listserve asking if anyone

has had a case go to trial with facts similar to yours. Obtain the list of jurors, then phone them and interview them about their service. This is superior to any mock trial or focus group because you are interviewing actual jurors and finding out the basis of their decisions.

7

In making your notes, be sure to rely on what the non-lawyers say, rather than the

lawyers, as to what issues are the most important. If non-lawyers seem to think that the fact that the Defendant liked to dance is important, then you need to focus on dancing, regardless of its relevance as to any issue in the case.

Once you’ve identified the hot-button issues, you are ready to start drafting questions.

III. DRAFTING QUESTIONS

Historically, lawyers would ask jurors “selling questions” such as, “Does everyone

here agree that they will follow the law and make the prosecution prove their case by beyond a reasonable doubt? I take it by your silence that everyone agrees that they will require the prosecution to prove their case beyond a reasonable doubt.”

This approach was replaced by the open-ended questions such as, “How do you feel

about the burden of proof being beyond a reasonable doubt?” Open-ended questions were

introduced to try to find out jurors attitudes so that the lawyers could intelligently exercise their preemptory strikes.

The approach advocated in this paper relies upon loaded questions. These are

questions that make it easy for a juror to express opinions which result in them being struck for cause. For example, “People have strong feelings about the burden of proof in criminal cases. Some people, if they were on the jury, would require the state to prove their case beyond a reasonable doubt. There are other people, if they were on a jury, feel that, in cases

like child sexual assault, is too high a burden. They would only require the state to prove their case by clear and convincing evidence. Which of those best describe you?”

This question works on many levels. First, by suggesting that there is a group of

people that has one set of opinions and another group of people who have a different set of opinions, a juror feels comfortable in expressing his opinion because it will be consistent

with one group or the other. He is not out there alone in opposition to the law. The second

8

level on which the question works is that the language makes saying “yes” to the second half of the question seem more reasonable by using the words “clear” and “convincing.”

The question on its face looks neutral, but to someone with a strong law

enforcement bias, the question is heavily loaded toward lowering the standard of proof in a criminal case.

This is not to say that loaded questions are the only questions to be asked during

Voir Dire. They are simply the most important weapon in your arsenal. Certainly, open-

ended questions such as, “How do you feel about sexual assault cases?” are useful in gaining information and in opening up a discussions about critical issues.

The first step is to list all the hot-button issues you have distinguished from your

formal or informal focus groups. You then begin to write out word-for-word the questions

which reveal the attitudes of the venire persons with regard to each hot-button issue. Some lawyers resist the idea of scripting out the language of the questions. This resistance is

accompanied by the justification that scripting would somehow impede the natural delivery of the Voir Dire. A lawyer might say, for example, “I have to put it in my words; otherwise, it won’t work.” I would suggest that almost everything a lawyer says in a Voir Dire is

unconsciously scripted. Lawyers repeat what they have heard other lawyers say, or what

they have said in the past. The only reason that it seems natural is because they’ve repeated it so many times. A new, carefully crafted question will feel natural if you say it enough. I

therefore recommend that on key questions that you memorize them and practice saying them until they are as natural as anything else you say over and over again.

As I have pointed out before, there are several forms in which questions can be

drafted. One is an either-or form. Ex: “Some people believe x, other people believe y. Which

best describes you?” Another form is the open-ended question. Ex: “How do you feel about y?” “What have you heard about x?”

9

Once you have written questions covering all of the hot-button issues in your case,

then examine the court’s charge and the applicable law in the case to see if there are opportunities for strikes for cause.

An example of a series of questions for a defense lawyer would be as follows:

People have strong feelings about police officers. There are some people who so admire and respect police officers, they simply wouldn’t believe that a police officer would lie under oath.

There are other people who believe that a police officer is just as likely as anyone else to lie under oath. Which of those best describe you? Mr. Smith, tell me more about that.

Now I want to be clear that I am not talking about believing a police officer of his superior education, training or experience. I am simply asking: do you believe that police officer is more likely to tell the truth?

Is it fair to say that regardless of the law, the facts, or the judges instructions, you would give more credibility to the testimony of a police officer?

This question will result in many state’s-oriented jurors being struck for cause. This

example also demonstrates the next step in obtaining a strike for cause, which is drafting effective follow-up questions. By asking Ms. Smith to tell you more about that, she will provide personal experiences and statements that will be useful in seeking a strike for cause.

The question that begins, “Is it fair to say . . .” makes it easy for Ms. Smith to agree that she cannot follow the law. Adding the phrase, “Is it fair to say . . .” softens the question and is less

confrontational than if you had worded the question, “Isn’t it true that you can’t follow the

judges instructions?” By telling Ms. Smith that she could follow all the other judge’s

instructions but simply couldn’t follow this one, it makes it appear as if she’s getting a B+ or an A- rather than failing as a juror because she could not follow one of the judges instructions.

The important point is to draft follow-up questions which give the potential juror

permission to express prejudices. Another way to make it easy for a venire person to slide off of the panel is to say, “Is it fair to say I’m starting out behind with you with regard to x?”

10

IV. SELECTING THE JURY Once you have drafted the questions and practiced saying them, you are ready for the

day of trial. If your jurisdiction allows for you to request a larger panel, by all means do so.

Judges are more likely to grant your legitimate strikes for cause if they are not afraid that you’re going to burn the panel.

In most jurisdictions, you will have some period of time in which to review the juror

cards before the beginning of trial. Quickly assign each juror a rating of “Leader” or “Follower,” and an additional category of “For Me” or “Against Me.” Obviously, you will have to rely on stereotypes for this initial categorization. An obvious example would be the

President of the local MADD Chapter, who would be categorized as a “Leader” and “Against”

the Defendant’s side. There may be a student or file clerk that turns out to be a leader on a jury, but for the purposes of your initial evaluation, use your stereotype, and place them in

the “Follower” category. Do a quick count, and if there are more “Leaders” who are against you in the first half of the jury pool than there are “Leaders” who are for you, and there are

more “Leaders” who are for you than there are “Leaders” who are against you in the second half of the jury pool, request a shuffle.

Do your best to rank the jurors using the criterion of “Leaders” who are against you

first, “Leaders” who are you don’t know whether they are for you or against you second, and

then “Followers” who are against you third. Begin the questioning with the “Leaders” who are against you and work down the list. This is also the order in which to use your

preemptory strikes. Even if someone is against your case, if they were a follower, they’re not

nearly as dangerous as someone who is a leader that turns out to be against you in a jury room.

I like to begin Voir Dires by providing a context to the panel, which encourages full

participation. The following is a good introduction:

11

I am going to start out by asking if there is anyone here who’s ever watched one of those daytime talk programs, like Oprah Winfrey, Sally Jesse Rafael, Donahue, when he was on the air, Jerry Springer . . . go ahead and get your hands up. Do people in the audience on those shows have any difficulty expressing their opinions?

Juror: No, people will speak right out.

Well that’s exactly how people should express themselves during voir dire. When either I or the lawyer for the defense asks a question, everyone needs to feel free to tell us exactly what you think.

Depending on how flamboyant you are, you can add jokes about not throwing chairs.

Always have someone taking notes for you. It is difficult, if not impossible, to listen

to jurors and take notes. Have the person who is taking notes put a big “C,” or a star, or an “X” to remind you who has made a statement that would support a strike for cause.

Encourage the jurors to express their prejudices against your case. When a juror makes a

statement that evidences bias or prejudice, ask the panel, “Who else agrees with this

statement?” You want to create a feeding frenzy that results in ten or fifteen strikes for cause for your side.

Depending on the judge, you will either have to make your strikes for cause known as

they occur in the panel, or at the completion of the Voir Dire. If the judge gives you an option,

make your strikes for cause at the end of the Voir Dire. If the judge requires additional questioning at the bench of anyone who you are seeking to strike for cause, begin by reading

the jurors words back to them from the notes. Then, follow-up with, “Are my notes accurate?”

Nail the strike down by saying, “Is it fair to say that we are starting out behind with you with regard to issue x?”

After obtaining many strikes for cause, the choices you must make with your

preemptory strikes should not be as difficult as in the past. As mentioned earlier, “Leaders”

who are against you are struck first, “Leaders” we have questions about are struck second,

and then “Followers” who are against you are struck third. In order to efficiently use the time

12

allotted for exercising your preemptory strikes, run the discussion like a meeting. Ask all of the decision makers to list which six venire persons they would strike. Go around the table, one by one, and write down the six juror numbers for each decision maker. Do not allow

discussion at this point. You only want each person to give the numbers of the six people they would strike if jury selection was entirely up to them. If some venire person’s number shows

up on everyone’s list, use a preemptory strike for that person without discussion. You then

will have plenty of time to discuss the remaining venire persons upon whom there was not initial agreement. This system saves time and provides more clarity.

Hopefully, at the end of the process, you will look and see twelve people in a jury box

with whom, if you do not have a head start, you at least are not behind the eight ball.

13

MAXIMIZING STRIKES FOR CAUSE FOR MITIGATION AND SENTENCING

BY ROBERT R. SWAFFORD I. INTRODUCTION This paper will outline an approach to the issues of mitigation and sentencing that is

very different from previous methods. Historically, lawyers used Voir Dire as an opportunity to try to sell their case. With the advent of jury consultants trained in psychology, methods

arose which emphasized using Voir Dire as an opportunity to obtain information that would be useful in exercising preemptory strikes. While both of these approaches have laudable

goals, they are limited in their effectiveness.

The approach proposed in this paper places as its primary goal maximizing strikes

for cause. By careful drafting and utilization of questions and appropriate follow-up, a lawyer

can significantly and consistently increase the number of strikes for cause he can obtain. The

steps required to achieve this result are the following: accurately analyzing the hot-button issues in a case; drafting appropriate questions; effectively asking the questions; and, finally, nailing down the strike for cause. It has long been proven that if a juror is bad for a criminal

defendant on the issue of guilt/ innocence, they are also bad for the criminal defendant on

sentencing. Visa versa, if a juror is inclined to impose the maximum sentence for a given offense, they are also more likely to find someone guilty.

This method is effective in any type of case. However, it is especially important for a

lawyer who is trying criminal cases. There are few types of cases that arouse such strong

14

emotional reactions as criminal cases. Both because of intense media coverage and because

of many individual’s intense personal experiences, the criminal justice area is one in which is it especially important to control the jury selection process.

Before explaining the “Strike for Cause” method of jury selection, it is important to

address the reasons why this approach is superior to previous strategies. The traditional approach to jury selection was primarily concerned with two things: first, getting a head start

in placing a litigant’s theory of the case before the jury, and, second, not poisoning the jury pool with attitudes that are contrary to one’s position. This concern with persuading the jury

pool during Voir Dire was fueled in part by a misreading of a study which indicated that jurors had made up their minds as to who should win a trial by the end of Voir Dire. Many people

took this to mean that the lawyer must persuade the jury in Voir Dire, or they have lost the case. A more accurate reading of that study would indicate that the venire persons had made up their mind about the issues of the case before they had walked into the courtroom. It is

absurd to think that what a lawyer says in a brief address to a jury pool can come close to

being as important as the life experiences and attitudes that the potential jurors brought with them to the courthouse. To give an example that would resonate with a criminal defense attorney, ask yourself if you would rather have a jury made up of members of the ACLU, or

instead be given an opportunity to present a one and a half hour speech. Any criminal defense

lawyer would choose to have a jury that is prejudiced in his favor than to have yet another speech. The same is true for prosecutors. There is an inherent conflict, however, between

the desire to maximize strikes for cause and the desire to persuade a jury panel. It is essential

in order to obtain strikes for cause to get jurors saying bad things about your side of the case. This is the only way to expose prejudice and, ultimately, to have them struck for

cause. Not only do you have to risk poisoning the jury pool by venire persons making statements antithetical to your theory of the case, you must also restrain yourself in selling

15

your case. Individuals are much less likely to express their strongly held opinions if they believe they are going to get into an argument with a lawyer in public. Through the process of elimination, you can guarantee the best jury possible out a given panel.

II. IDENTIFYING HOT-BUTTON ISSUES

The first step in any case is to identify the emotional issues on which jurors will be

deciding your case. If one has tens of thousands of dollars to spend on a case, this information can be obtained through the use of focus groups, mock trials and polling.

If a case does not justify the expense of a focus group, there are other alternatives that

are at least as effective. One option is to develop a brief summary of the case, and then ask friends and family members what they think about the case without revealing your role in the case. Try to be as neutral as possible and include facts that you don’t think are relevant,

but might be important to a non-lawyer. Have staff members do the same thing. If you are a

criminal defense lawyer, call your one Republican friend, and ask his opinion. If you are a

prosecutor, call your one Democrat or Green Party friend and ask her opinion. Be careful not

to argue with the individual who is helping you. Encourage them to express their opinions

fully with follow-up questions. Listen more than you talk.

In making your notes, be sure to rely on what the non-lawyers say, rather than the

lawyers, as to what issues are the most important. For example, if non-lawyers seem to think that the fact that the Defendant liked to dance is important, then you need to focus on dancing, regardless of its relevance as to any issue in the case.

Once you’ve identified the hot-button issues, you are ready to start drafting questions.

III. DRAFTING QUESTIONS

Historically, lawyers would ask jurors “selling questions” such as, “Does everyone

here agree that they will follow the law and make the prosecution prove their case by beyond

16

a reasonable doubt? I take it by your silence that everyone agrees that they will require the prosecution to prove their case beyond a reasonable doubt.”

This approach was replaced by the open-ended questions such as, “How do you feel

about the burden of proof being beyond a reasonable doubt?” Open-ended questions were

introduced to try to find out jurors attitudes so that the lawyers could intelligently exercise their preemptory strikes.

The approach advocated in this paper relies upon loaded questions. These are

questions that make it easy for a juror to express opinions which result in them being struck for cause. For example, “People have strong feelings about the burden of proof in criminal cases. Some people, if they were on the jury, would require the state to prove their case

beyond a reasonable doubt. There are other people, if they were on a jury, feel that, in cases

like child sexual assault, is too high a burden. They would only require the state to prove

their case by clear and convincing evidence. Which of those best describe you?”

This question works on many levels. First, by suggesting that there is a group of

people that has one set of opinions and another group of people who have a different set of

opinions, a juror feels comfortable in expressing his opinion because it will be consistent with one group or the other. The venire person is not out there alone in opposition to the law. The

second level on which the question works is that the language makes saying “yes” to the

second half of the question seem more reasonable by using the words “clear” and “convincing.”

The question on its face looks neutral, but to someone with a strong law enforcement

bias, the question is heavily loaded toward giving the potential juror permission to express the view that they would hold the prosecutor to a lower burden of proof.

This is not to say that loaded questions are the only questions to be asked during

Voir Dire. They are simply the most important weapon in your arsenal. Certainly, open-

17

ended questions such as, “How do you feel about sexual assault cases?” are useful in gaining information and in opening up a discussions about critical issues.

The first step is to list all the hot-button issues you have distinguished from your

formal or informal focus groups. You then begin to write out word-for-word the questions

which reveal the attitudes of the venire persons with regard to each hot-button issue. Some

lawyers resist the idea of scripting out the language of the questions. This resistance is

accompanied by the justification that scripting would somehow impede the natural delivery of the Voir Dire. A lawyer might say, for example, “I have to put it in my words; otherwise, it

won’t work.” I would suggest that almost everything a lawyer says in a Voir Dire is

unconsciously scripted. Lawyers repeat what they have heard other lawyers say, or what

they have said in the past. The only reason that it seems natural is because they’ve repeated

it so many times. A new, carefully crafted question will feel natural if you say it enough. I therefore recommend that on key questions that you memorize them and practice saying them until they are as natural as anything else you say over and over again.

As I have pointed out before, there are several forms in which questions can be

drafted. One is an either-or form. Ex: “Some people believe x, other people believe y. Which

best describes you?” Another form is the open-ended question. Ex: “How do you feel about

y?” “What have you heard about x?”

Once you have written questions covering all of the hot-button issues in your case,

then examine the court’s charge and the applicable law in the case to see if there are

opportunities for strikes for cause. This is especially important when drafting questions regarding mitigation or questions concerning sentencing.

An example of a series of questions for a defense lawyer would be as follows:

There are some people, if they were on a jury, would have no problem giving a person probation even if they believed that person was guilty beyond a reasonable doubt of ___________. There are other people who could consider probation on other types of cases but simply could never give probation in a __________ case. Which of these best describes you?

18

• •

Tell me about that.

So, is it fair to say that regardless of the law, the facts, or the judge’s instructions you simply could not consider probation in a _________ case?

There are a number of types of cases in which a substantial percentage of the venire

panel will be excused for cause with this question. For example, if you fill in the blank with

“sexual assault of a child” on older cases in which your client may be probation eligible, there

are a number of potential jurors who will be excused for cause. This question can be used in any case in which your client is probation eligible.

You should also look to the charge when writing questions with regard to

mitigation. You can write a question that would look substantially like the following:

There are some people who, if they were on a jury, would have no problem considering _________ (fill in the appropriate mitigation factors for your case). There are other people who, if they were on a jury, would not consider __________ in determining an appropriate sentence. Who here fits in that second category, that you simply would not consider _________ in determining a sentence in a criminal case.

• Tell me about that.

• How would that affect you if you were to be a juror on a case in which ______ is a factor?

• Is it fair to say that regardless of the facts or the law you simply would not consider ________ in determining the sentence of someone charged with a crime?

One of the concerns that lawyers have is that if they ask questions about sentencing they

are somehow implying that their client is guilty, and they expect to get to the punishment stage of the trial. My recommendation is to provide a preface before asking any questions

about sentencing that goes something like this:

Now this next set of questions are going to deal with sentencing. It is my belief that we are not going to get there in this trial, but the reality is that, if I am wrong, there will not be another opportunity to ask questions about your attitudes concerning punishment and rehabilitation. This is my only opportunity to ask the potential jurors questions about these issues. Is there anyone who believes my client must be guilty, otherwise we wouldn’t be asking questions about sentencing? Please raise your hands. We all know that we are supposed to presume that a criminal defendant is innocent. Is there anyone who simply cannot follow that instruction if we ask questions about sentencing?

• Tell me about that.

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In addition to asking questions that directly address mitigation and sentencing issues, a

criminal defense lawyer who is concerned about that phase of the trial should also ask questions that give insight into the attitudes and opinions that affect those issues indirectly.

There is substantial research that indicates that individuals who have a pro- authority

bias tend to be more likely to both find a criminal defendant guilty as well as impose harsher

punishment. The following question both exposes a pro- authority bias as well as enables a criminal defense lawyer to obtain a strike for cause on the individual who has the pro-

authority bias:

People have strong feelings about police officers. There are some people who so admire and respect police officers, they simply wouldn’t believe that a police officer would lie under oath. There are other people who believe that a police officer is just as likely as anyone else to lie under oath. Which of those best describe you? Mr. Smith, tell me more about that.

Now I want to be clear that I am not talking about believing a police officer of his superior education, training or experience. I am simply asking: do you believe that police officer is more likely to tell the truth?

Is it fair to say that regardless of the law, the facts, or the judges instructions, you would give more credibility to the testimony of a police officer?

This question will result in many state’s-oriented jurors being struck for cause. This

example also demonstrates the next step in obtaining a strike for cause, which is drafting

effective follow-up questions. By asking Ms. Smith to tell you more about that, she will

provide personal experiences and statements that will be useful in seeking a strike for cause. The question that begins, “Is it fair to say . . .” makes it easy for Ms. Smith to agree that she cannot follow the law. Adding the phrase, “Is it fair to say . . .” softens the question and is

less confrontational than if you had worded the question, “Isn’t it true that you can’t follow the judges instructions?” By telling Ms. Smith that she could follow all the other judge’s

instructions but simply couldn’t follow this one, it makes it appear as if she’s getting a B+ or an A- rather than failing as a juror because she could not follow one of the judges instructions.

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The important point is to draft follow-up questions which give the potential juror

permission to express prejudices.

IV. SELECTING THE JURY

Once you have drafted the questions and practiced saying them, you are ready for the

day of trial.

In most jurisdictions, you will have some period of time in which to review the juror

cards before the beginning of trial. Quickly assign each juror a rating of “Leader” or

“Follower,” and an additional category of “For Me” or “Against Me.” Obviously, you will have

to rely on stereotypes for this initial categorization. An obvious example would be the President of the local MADD Chapter, who would be categorized as a “Leader” and “Against”

the Defendant’s side. There may be a student or file clerk that turns out to be a leader on a

jury, but for the purposes of your initial evaluation, use your stereotype, and place them in

the “Follower” category. Do a quick count, and if there are more “Leaders” who are against you in the first half of the jury pool than there are “Leaders” who are for you, and there are

more “Leaders” who are for you than there are “Leaders” who are against you in the second half of the jury pool, request a shuffle.

Do your best to rank the jurors using the criterion of “Leaders” who are against you

first, “Leaders” who are you don’t know whether they are for you or against you second, and

then “Followers” who are against you third. Begin the questioning with the “Leaders” who

are against you and work down the list. This is also the order in which to use your preemptory strikes. Even if someone is against your case, if they were a follower, they’re not nearly as dangerous as someone who is a leader that turns out to be against you in a jury room.

I like to begin Voir Dires by providing a context to the panel, which encourages full

participation. The following is a good introduction:

21

I am going to start out by asking if there is anyone here who’s ever watched one of those daytime talk programs, like Oprah Winfrey, Sally Jesse Rafael, Donahue, when he was on the air, Jerry Springer . . . go ahead and get your hands up. Do people in the audience on those shows have any difficulty expressing their opinions?

Juror: No, people will speak right out.

Well that’s exactly how people should express themselves during voir dire. When either I or the lawyer for the defense asks a question, everyone needs to feel free to tell us exactly what you think.

Depending on how flamboyant you are, you can add jokes about not throwing chairs.

Always have someone taking notes for you. It is difficult, if not impossible, to listen

to jurors and take notes. Have the person who is taking notes put a big “C,” or a star, or an

“X” to remind you who has made a statement that would support a strike for

cause. Encourage the jurors to express their prejudices against your case. When a juror

makes a statement that evidences bias or prejudice, ask the panel, “Who else agrees with this

statement?” You want to create a feeding frenzy that results in ten or fifteen strikes for cause for your side.

Depending on the judge, you will either have to make your strikes for cause known as

they occur in the panel, or at the completion of the Voir Dire. If the judge gives you an option,

make your strikes for cause at the end of the Voir Dire. If the judge requires additional questioning at the bench of anyone who you are seeking to strike for cause, begin by reading

the jurors words back to them from the notes. Then, follow-up with, “Are my notes

accurate?” Nail the strike down by saying, “Is it fair to say that we are starting out behind with you with regard to issue x?”

After obtaining many strikes for cause, the choices you must make with your

preemptory strikes should not be as difficult as in the past. As mentioned earlier, “Leaders”

who are against you are struck first, “Leaders” we have questions about are struck second,

and then “Followers” who are against you are struck third. In order to efficiently use the time

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allotted for exercising your preemptory strikes, run the discussion like a meeting. Ask all of the decision makers to list which ten venire persons they would strike. Go around the table,

one by one, and write down the ten juror numbers for each decision maker. Do not allow discussion at this point. You only want each person to give the numbers of the ten people

they would strike if jury selection was entirely up to them. If some venire person’s number

shows up on everyone’s list, use a preemptory strike for that person without discussion. You then will have plenty of time to discuss the remaining venire persons upon whom there was

not initial agreement. This system saves time and provides more clarity.

Hopefully, at the end of the process, you will look and see twelve people in a jury box

who, if they do not acquit your client, will at least temper justice with mercy.

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How to Get and Keep Strikes for Cause or Preserve Errors When You Lose Them

I.

Introduction

By Robert R. Swafford

Typically when discussing the law with regard to Strikes for Cause, lawyers

will focus on the five steps to preserving error. In Davis v. State, 329 S.W.3d 798, 807 (Tex. Crim. App. 2010), the court lists the five steps as follows: “To preserve error for

a trial court's erroneous denial of a challenge for cause, appellant must show that: (1)

he asserted a clear and specific challenge for cause; (2) he used a peremptory challenge on the complained-of venire member; (3) his peremptory challenges were

exhausted; (4) his request for additional strikes was denied; and (5) an objectionable juror sat on the jury.”

Instead of focusing solely on how to preserve error at the end of the voir dire

process, this paper will show in a practical manner how to prepare for voir dire,

conduct voir dire, make your challenges for cause, prevent rehabilitation, and then finally, when all else fails, preserve error.

This paper will introduce an approach to jury selection that is radically

different from previous methods.

Historically, lawyers used Voir Dire as an

opportunity to try to sell their case. With the advent of jury consultants trained in psychology, methods arose which emphasized using Voir Dire as an opportunity to

obtain information that would be useful in exercising preemptory strikes. While both of these approaches have laudable goals, they are limited in their effectiveness.

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The approach proposed in this paper places as its primary goal maximizing

strikes for cause. By careful drafting and utilization of questions and appropriate follow-up, a lawyer can significantly and consistently increase the number of strikes for cause he can obtain. The steps required to achieve this result are the following:

accurately analyzing the hot-button issues in a case; drafting appropriate questions; effectively asking the questions; and, finally, nailing down the strike for cause.

This method is effective in any type of case. However, it is especially important

for a lawyer who is trying criminal cases. There are few types of cases that arouse such strong emotional reactions as criminal cases. Both because of intense media

coverage and because of many individual’s intense personal experiences, the criminal justice area is one in which is it especially important to control the jury selection process.

Before explaining the “Strike for Cause” method of jury selection, it is

important to address the reasons why this approach is superior to previous

strategies. The traditional approach to jury selection was primarily concerned with

two things: first, getting a head start in placing a litigant’s theory of the case before the jury, and, second, not poisoning the jury pool with attitudes that are contrary to one’s position. This concern with persuading the jury pool during Voir Dire was fueled in part by a misreading of a study which indicated that jurors had made up

their minds as to who should win a trial by the end of Voir Dire. Many people took this to mean that the lawyer must persuade the jury in Voir Dire, or they have lost the

case. A more accurate reading of that study would indicate that the venire persons had made up their mind about the issues of the case before they had walked into the 25

courtroom. It is absurd to think that what a lawyer says in a brief address to a jury pool can come close to being as important as the life experiences and attitudes that the potential jurors brought with them to the courthouse.

To give an example that would resonate with a trial lawyer, ask yourself if you

would rather have a jury made up of members of the ACLU, or instead be given an opportunity to present a one and a half hour speech. Any criminal defense lawyer

would choose to have a jury that is prejudiced in his favor than to have yet another speech. The same is true for prosecutors. There is an inherent conflict, however, between the desire to maximize strikes for cause and the desire to persuade a jury panel. It is essential in order to obtain strikes for cause to get jurors saying bad things

about your side of the case. This is the only way to expose prejudice and, ultimately, to have them struck for cause. Not only do you have to risk poisoning the jury pool

by venire persons making statements antithetical to your theory of the case, you must

also restrain yourself in selling your case. Individuals are much less likely to express their strongly held opinions if they believe they are going to get into an argument with a lawyer in public. These dangers inherent in the “Strike for Cause” method are more

than made up for by the advantage of having ten, fifteen, and, in some cases, as many as twenty strikes for cause, while your opposing counsel is limited to one or two.

Through the process of elimination, you can guarantee the best jury possible out a given panel.

II.

IDENTIFYING HOT-BUTTON ISSUES

The first step in any case is to identify the emotional issues on which jurors

will be deciding your case. If one has tens of thousands of dollars to spend on a case, 26

this information can be obtained through the use of focus groups, mock trials and polling. It is dangerous, however, to rely too heavily on the information gleaned from these methods. There is a temptation to believe that if an individual in your focus

group holds a certain opinion, then someone on a jury panel with similar

demographics will hold the same opinion. There are no focus groups that have a large

enough sample size to be predictive of what individuals on a jury panel are likely to

believe. The only purpose of a focus group is to discern what issues may be of importance to a jury that would not be important to an attorney.

If a case does not justify the expense of a focus group, there are other

alternatives that are at least as effective. One option is to develop a brief summary of the case, and then ask friends and family members what they think about the case without revealing your role in the case. Try to be as neutral as possible and include facts that you don’t think are relevant, but might be important to a non-lawyer. Have

staff members do the same thing. If you are a criminal defense lawyer, call your one

Republican friend, and ask his opinion. If you are a prosecutor, call your one

Democrat or Green Party friend and ask her opinion. Be careful not to argue with the

individual who is helping you. Encourage them to express their opinions fully with follow-up questions. Listen more than you talk.

In making your notes, be sure to rely on what the non-lawyers say, rather than

the lawyers, as to what issues are the most important. If non-lawyers seem to think that the fact that the Defendant liked to dance is important, then you need to focus on dancing, regardless of its relevance as to any issue in the case.

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Once you’ve identified the hot-button issues, you are ready to start drafting

questions.

III.

DRAFTING QUESTIONS Historically, lawyers would ask jurors “selling questions” such as, “Does

everyone here agree that they will follow the law and make the prosecution prove their case by beyond a reasonable doubt? I take it by your silence that everyone

agrees that they will require the prosecution to prove their case beyond a reasonable doubt.”

This approach was replaced by the open-ended questions such as, “How do

you feel about the burden of proof being beyond a reasonable doubt?” Open-ended questions were introduced to try to find out jurors attitudes so that the lawyers could intelligently exercise their preemptory strikes.

The approach advocated in this paper relies upon loaded questions. These are

questions that make it easy for a juror to express opinions which result in them being struck for cause. For example, “People have strong feelings about the burden of proof

in criminal cases. Some people, if they were on the jury, would require the state to prove their case beyond a reasonable doubt. There are other people, if they were on

a jury, feel that, in cases like child sexual assault, is too high a burden. They would only require the state to prove their case by clear and convincing evidence. Which of those best describe you?”

This question works on many levels. First, by suggesting that there is a group

of people that has one set of opinions and another group of people who have a

different set of opinions, a juror feels comfortable in expressing his opinion because 28

it will be consistent with one group or the other. He is not out there alone in opposition to the law. The second level on which the question works is that the

language makes saying “yes” to the second half of the question seem more reasonable by using the words “clear” and “convincing.”

The question on its face looks neutral, but to someone with a strong law

enforcement bias, the question is heavily loaded toward lowering the standard of proof in a criminal case.

This is not to say that loaded questions are the only questions to be asked

during Voir Dire. They are simply the most important weapon in your arsenal.

Certainly, open-ended questions such as, “How do you feel about sexual assault

cases?” are useful in gaining information and in opening up a discussions about critical issues.

The first step is to list all the hot-button issues you have distinguished from

your formal or informal focus groups. You then begin to write out word-for-word the

questions which reveal the attitudes of the venire persons with regard to each hot-

button issue. Some lawyers resist the idea of scripting out the language of the

questions. This resistance is accompanied by the justification that scripting would somehow impede the natural delivery of the Voir Dire. A lawyer might say, for example, “I have to put it in my words; otherwise, it won’t work.” I would suggest that

almost everything a lawyer says in a Voir Dire is unconsciously scripted. Lawyers

repeat what they have heard other lawyers say, or what they have said in the past.

The only reason that it seems natural is because they’ve repeated it so many times. A new, carefully crafted question will feel natural if you say it enough. I therefore 29

recommend that on key questions that you memorize them and practice saying them until they are as natural as anything else you say over and over again.

As I have pointed out before, there are several forms in which questions can

be drafted. One is an either-or form. Ex: “Some people believe x, other people believe y. Which best describes you?” Another form is the open-ended question. Ex: “How do you feel about y?” “What have you heard about x?”

Once you have written questions covering all of the hot-button issues in your case,

then examine the court’s charge and the applicable law in the case to see if there are opportunities for strikes for cause.

An example of a series of questions for a defense lawyer would be as follows:

People have strong feelings about police officers. There are some people who so

admire and respect police officers, they simply wouldn’t believe that a police officer would lie under oath. There are other people who believe that a police officer is just

as likely as anyone else to lie under oath. Which of those best describe you? Mr. Smith, tell me more about that.

Now I want to be clear that I am not talking about believing a police officer of

his superior education, training or experience. I am simply asking: do you believe that police officer is more likely to tell the truth?

Is it fair to say that regardless of the law, the facts, or the judges instructions,

you would give more credibility to the testimony of a police officer?

This question will result in many state’s-oriented jurors being struck for cause.

This example also demonstrates the next step in obtaining a strike for cause, which is drafting effective follow-up questions. By asking Ms. Smith to tell you more about 30

that, she will provide personal experiences and statements that will be useful in seeking a strike for cause. The question that begins, “Is it fair to say . . .” makes it easy

for Ms. Smith to agree that she cannot follow the law. Adding the phrase, “Is it fair to say . . .” softens the question and is less confrontational than if you had worded the

question, “Isn’t it true that you can’t follow the judges instructions?” By telling Ms. Smith that she could follow all the other judge’s instructions but simply couldn’t

follow this one, it makes it appear as if she’s getting a B+ or an A- rather than failing as a juror because she could not follow one of the judges instructions.

It is very important when drafting questions to make sure that if you have a

“yes” answer, it has legal significance. It is not enough for a potential juror to have a hard time considering probation or difficulty judging a police officer’s testimony with

the same credibility as someone else. The question must nail them down such that they cannot follow the law or the court’s instructions. This is another reason why scripting is so important.

While it is important to make sure that the questions sufficiently commit the

venire person to a position that results in them being excused for cause, one must be

careful to make sure that the question is not an improper commitment question. In order to distinguish what constitutes an improper commitment question from an

allowable commitment question, one must first define the term “commitment question.” “Commitment questions are those that commit a juror to resolve or refrain from resolving an issue a certain way after learning a particular fact.” Standefer, 59

S.W.3d 177, 179 (Tex. Crim. App. 2001)1 Therefore, the first inquiry is to determine

31

whether or not a question references a particular fact in the case. That is only the first

step, though. “Not all questions or areas of inquiry involving the facts of the case will

impermissibly attempt to pre-test the weight jurors will give those facts” Hyundai, 189 S.W.3d 743, 759 (Tex. 2006).

Standefer sets out the criteria for what constitutes an improper commitment

question in a two-step test. “The inquiry for improper commitment questions has two steps: (1) Is the question a commitment question, and (2) Does the question include

facts—and only those facts—that lead to a valid challenge for cause? If the answer to (1) is ‘yes’ and the answer to (2) is ‘no,’ then the question is an improper commitment question, and the trial court should not allow the question” Standefer, 59 S.W.3d 177,

182-183 (Tex. Crim. App. 2001). In other words, a commitment question is improper if it contains facts in the case that are not necessary to establish a valid challenge for cause. “To be proper, then, a commitment question must contain only those facts

necessary to test whether a prospective juror is challengeable for cause” Standefer, 59 S.W.3d 177, 182 (Tex. Crim. App. 2001). “The distinguishing factor is that the law

requires jurors to make certain types of commitments. When the law requires a certain type of commitment from jurors, the attorneys may ask the prospective jurors whether they can follow the law in that regard” Standefer, 59 S.W.3d 177, 181 (Tex. Crim. App. 2001).

IV.

SELECTING THE JURY

Once you have drafted the questions and practiced saying them, you are ready

for the day of trial. If your jurisdiction allows for you to request a larger panel, by all

32

means do so. Judges are more likely to grant your legitimate strikes for cause if they are not afraid that you’re going to burn the panel.

In most jurisdictions, you will have some period of time in which to review the

juror cards before the beginning of trial. Quickly assign each juror a rating of “Leader”

or “Follower,” and an additional category of “For Me” or “Against Me.” Obviously, you will have to rely on stereotypes for this initial categorization. An obvious example would be the President of the local MADD Chapter, who would be categorized as a “Leader” and “Against” the Defendant’s side. There may be a student or file clerk that

turns out to be a leader on a jury, but for the purposes of your initial evaluation, use

your stereotype, and place them in the “Follower” category. Do a quick count, and if there are more “Leaders” who are against you in the first half of the jury pool than

there are “Leaders” who are for you, and there are more “Leaders” who are for you than there are “Leaders” who are against you in the second half of the jury pool, request a shuffle.

Do your best to rank the jurors using the criterion of “Leaders” who are against

you first, “Leaders” who are you don’t know whether they are for you or against you

second, and then “Followers” who are against you third. Begin the questioning with the “Leaders” who are against you and work down the list. This is also the order in

which to use your preemptory strikes. Even if someone is against your case, if they were a follower, they’re not nearly as dangerous as someone who is a leader that turns out to be against you in a jury room.

I like to begin Voir Dires by providing a context to the panel, which encourages

full participation. The following is a good introduction: 33

I am going to start out by asking if there is anyone here who’s ever watched

one of those daytime talk programs, like Oprah Winfrey, Sally Jesse Rafael, Donahue,

when he was on the air, Jerry Springer . . . go ahead and get your hands up. Do people in the audience on those shows have any difficulty expressing their opinions?

Juror: No, people will speak right out.

Well that’s exactly how people should express themselves during voir dire.

When either I or the lawyer for the defense asks a question, everyone needs to feel free to tell us exactly what you think. chairs.

Depending on how flamboyant you are, you can add jokes about not throwing Always have someone taking notes for you. It is difficult, if not impossible, to

listen to jurors and take notes. Have the person who is taking notes put a big “C,” or a star, or an “X” to remind you who has made a statement that would support a strike

for cause. Encourage the jurors to express their prejudices against your case. When

a juror makes a statement that evidences bias or prejudice, ask the panel, “Who else

agrees with this statement?” You want to create a feeding frenzy that results in ten or fifteen strikes for cause for your side.

Depending on the judge, you will either have to make your strikes for cause

known as they occur in the panel, or at the completion of the Voir Dire. If the judge gives you an option, make your strikes for cause at the end of the Voir Dire. If the

judge requires additional questioning at the bench of anyone who you are seeking to strike for cause, begin by reading the jurors words back to them from the notes. Then,

follow-up with, “Are my notes accurate?” Nail the strike down by saying, “Is it fair to 34

say that although you would do your best to follow the law, follow the judge’s

instructions, keep an open mind, etc., you simply could not follow an instruction that would require you to give the same credibility to the testimony of a police officer that is not in a uniform, is that fair to say?”

If, despite your best efforts, a judge refuses to grant your Strike for Cause, go

back to the five steps: move to have the juror struck for cause, explaining both the

legal basis and the answers given by the potential juror that justify the strike for cause. Be clear and specific. While at the bench, request additional strikes for cause.

Use your peremptory challenges on venire persons whom you have unsuccessfully

moved to strike for cause. When you come back in to the court room after exercising your peremptory strikes, make a record telling the court that you wanted to strike a

venire person who was objectionable to you, but instead had to use a strike on the

venire person who should have been struck for cause. Objectionable in this sense

does not mean someone who should have been struck for cause, it just means someone that you did not like that you would have used a peremptory strike on but

for the fact that you had run out of peremptory strikes. It goes without saying that you need to make sure that you use all of your peremptory strikes and that you use

all those peremptory strikes within the strike zone. As in all efforts to preserve the

record, make sure that the court reporter is taking down everything that is said with regard to your strikes for cause. One of the most difficult portions of a trial for a court reporter is the voir dire process. You want to do everything that you can to make it easy for them.

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Criminal cases are the hardest cases when it comes to seating a jury who will

judge the case consistent with the law and instructions given by the court. By their very nature, criminal cases invoke people’s deepest fears. The only way our clients

ever have a chance in a criminal court room is to eliminate those with the very worst

biases against our clients. Traditionally, courts are reluctant to grant strikes for cause

and eager to gloss over very real problems with potential jurors. In many cases, the only way to have a court rigorously eliminate from a panel those who have no

business serving on a particular case is to be impeccable in protecting the record and

clear in establishing the bias and prejudice of a potential juror. Through preparation

and focus, we may not always be able to guarantee a not guilty, but we can improve the odds for the people who have put their trust in us.

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Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Scrimmaging | Pre-Trial Investigations

Speaker:

Jeremy Rosenthal 4500 Eldorado Pkwy Ste 3000 McKinney, TX 75070-2512 (972) 369-0577 phone (972) 369-0532 fax jeremy@texasdefensefirm.com www.texasdefensefirm.com

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Pre Trial Investigations Jeremy F. Rosenthal Rosenthal, Kalabus & Therrian, PLLC 4500 W. Eldorado Parkway, Suite 3000 McKinney, Texas 75070 (972) 369-0577 jeremy@texasdefensefirm.com

Table of Contents 1. Why Investigate?

Competent advice requires that an attorney conduct independent legal and factual investigations sufficient to enable him to have a firm command of the case and the relationship between the facts and each element of the offense. Strickland v. Washington, 466 U.S. 668, 691, (1984), Ex Parte Briggs, 187 S.W.3d. 458, 467 (Tex.Crim.App. 2005).

2. Linear or Theory Based Investigation It is clear our mandate is to be zealous advocates for our clients. Further, our role within the framework of the criminal justice system requires us to conduct competent and thorough investigations. But your investigation ought to have a goal or a point.

The whole point of investigating is not merely to retrace the State’s steps or affirm our own client’s guilt. The point is to test alternate theories and see which, if any, are viable defenses. Often thorough investigations to alternate theories may only confirm the State’s rendition of the case. In this event it assists you still in allowing your client to make an informed decision.

Investigations can either be 360 degree and all-encompassing or linear calculated to prove a single point or theory. When the state proves up a shoplifting case, for instance, the investigation is usually linear – that is they merely check the box for each element toward the one viable theory. Murder or sexual assault, by contrast ought to be more comprehensive, thorough, or ‘rounded’ and thus are a “360 degree” investigation.

In a perfect world, we ought to do a 360 degree investigation as defense lawyers in every case. In reality, our resources and other constraints make linear investigations towards alternate theories more practical. Do not investigate for the sake of investigating. Develop a theory or theories and hone your inquiry. a. Developing Your Theory i. The Jury Charge Your theory of the case begins with the jury charge. It ought to go without saying but you need to be able to make a straight-faced argument for acquittal based on the law and the evidence. The Texas Pattern Jury Charges are sold by the Texas State Bar and are an excellent resource. Always consider applicable defenses. ii. Interview Your Client First Always interview your client to get their story. The real world is often stranger than fiction and interviewing your client first tells you where to look in your investigation. Your client doesn’t know the elements of the offense nor are they typically aware of the law on

defenses. Even if your client provides you nothing but a detailed confession – it can still provide you with insight into whatavenues for investigation remain or were unchecked by the State that remain plausible alternate theories. Keep an eye on mitigation as well and be sure to lay the groundwork for character witnesses, mental health mitigation, or possible punishment evidence.

(I would expand on Mitigation as a pre-trial investigation here) iii. Review the Discovery Based on your jury charge and your client’s interview, hopefully you’ve been able to identify some avenues of attack. Does the written discovery or the media provided in the case eliminate your potential theories? What, if any, defensive theories remain?

3. Pursuing Your Theory Now that you have narrowed your case down to hopefully a few defensive theories it’s time to investigate and find evidence which corroborates it. Many investigations as to the underlying facts are not mutually exclusive to investigations as to punishment.

4. Punishment Investigations Some punishment investigations require assistance from professionals uniquely qualified to help in the field of mitigation. These can include mitigators, psychologists or in the field of sex cases – a LSOTP or Licensed Sex Offense Treatment Provider. These types of experts are particularly helpful in instances where your client may not have many friends or family able or willing to act as punishment witnesses. a. Investigative Techniques i. Experts Many defensive theories will hinge on something highly technical or complex to the degree it will require an expert to assist in resolving the issue. Examples might include computer forensics, toxicology, psychology, or DNA. Experts can be invaluable in guiding your investigation and pointing you to resources which can help them help you. It’s also important to bring an expert on as early as possible because they can also talk you out of bad theories before you’ve wasted too many resources on them.

INDIGENT DEFENDANTS ARE LEGALLY ENTITLED TO FUNDING FOR EXPERT WITNESSES! Not having money is not an excuse not to get expert assistance. Even on cases where you might be retained – your client can still attempt to make a showing of indigency. See TEX. CODE CRIM. PROC. ART. 26.05(d) and Ake v. Oklahoma, 470 U.S. 68 (1985). Attached are model motions for appointments of experts. Those pleadings are ex parte –

because the State is not entitled to see what defenses, if any, you are contemplating. ii. Investigators Indigent defendants are also legally entitled to funding for investigators in addition to experts.

An investigator can be crucial for the reasons they can go into the field just like law enforcement. Reluctant or hostile witnesses will often not return phone calls or emails – but may very well give detailed statements to someone who knocks on their door. It’s important to give your investigator guidance as to your theory so they know what they are looking for.

Interviewing witnesses and not asking them critical questions can be frustrating.

At a minimum your investigator should always attempt to interview the complaining witness even if it seems a fool’s errand. Sending an investigator into the field to interview a child witness may often seem daunting but a practice tip is to always make sure your investigator respects the child’s parent or guardian and asks for permission or for the parent/ guardian to be present during the interview. iii. Documents Documents and other public records can be invaluable as well. Documents can be attained a number of different ways depending on their nature and who has them. Public records such as court documents and death certificates can be easy to find. Some records can be subject to strict privacy controls such as hospital records or CPS records. Below I will discuss how to attain some of those. Public documents can be imputed to the State’s possession and practitioners can try and get the State to attain and produce them under TEX.CODE.CRIM.PROC.ART. 39.14.

Here’s a quick list of possible documents or records which may be attainable:                 

Employment records; Offense reports of other relevant cases; Medical records; Probation records; Social security; IRS records; Property records; Appraisal records; Court documents and files; CPS records; Attorney General records; Prison Records (TDCJ); County Jails; Police officer records (TCOLE); Military records; Medical examiner or autopsy reports; Social media iv. Subpoenas

Compulsory process – or the ability to use the court’s authority to attain evidence for your defense – is a valuable tool or weapon which can often be over-looked. Counsel has the ability to subpoena records such as cellular data or actual physical items such as cell phones or other property. Subpoenas and compulsory process are governed by T EX.CODE.CRIM.PROC.ART. 24.02.

5. Firehose of Resources Sources you can use are seemingly endless. Here are as many of them as I can think of or have seen cited in other similar papers: a. Internet and web pages i. General Reference: 1. Google, Yahoo and Bing (duh!)

2. Wikipedia, Wikiquote, Wikidata and Wikisource; 3. Google Earth; 4. Google Scholar; 5. Google Books.

ii. Public records: 1. Attorney General www.texasattorneygeneral.gov; 2. Digital Media Law Project: www.dmlp.org – this cite is created to help researching for public information; 3. Texas Commission on Law Enforcement: www.tcole.texas.gov; 4. DPS: www.txdps.state.ts.us/index.htm; 5. Texas department of criminal justice: www.tdcj.state.tx.us/index.html 6. Window on Texas State Government – a general site for the Texas Comptroller of Public accounts: www.window.texas.gov; 7. Texas Association of Appraisal Districts: www.taad.org; 8. Reverse phone lookup: www.anywho.com; 9. General government information: www.texas.gov; 10. Tarlton Law Library – free access to UT’s law library: http://tarlton.law.utexas.edu/ iii. Other online resources: 1. TCDLA’s web page – the greatest compilation of resources on the planet: www.tcdla.com; 2. Texas District & County Attorney’s Association: www.tdcaa.com; 3. Paid web pages: a. Intelius.com b. Publicdata.com c. Lexisnexis.com (Accurint) d. Martindale.com e. Forensic Information Solution Services: http://forensicinformationsolutionservices.com – Membership based web page for DWI breath cases.

6. Forms, Forms and More Forms: See below some helpful forms for investigations (Courtesy Sarah Roland).

CAUSE NUMBER F-2011-1675-A THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

16TH JUDICIAL DISTRICT

CHRISTOPHER SMITH

§

DENTON COUNTY, TEXAS

TO THE HONORABLE JUDGE OF SAID COURT: COMES NOW, CHRISTOPHER SMITH, Defendant in the above styled and numbered cause, by and through his attorney of record, SARAH ROLAND, and files the above-styled motion and in support thereof would show the Court the following, to wit: I. FACTS Defendant was arrested for injury to a child on April 8, 2011. Defendant was determined to be indigent on April 12, 2011, and undersigned counsel was appointed to represent him. On July 28, 2011, Defendant was indicted for felony murder in the above-captioned case.

On November 21, 2011, undersigned counsel applied to the Court for funds for an investigator in this case. On the same day this Court authorized “a maximum of five hundred ($500) dollars unless the Defendant seeks additional funds and said additional funds are approved.” See Exhibit 1, which is attached and incorporated herein for all purposes.

II. PREVIOUSLY ALLOCATED FUNDS HAVE BEEN DEPLETED During her initial appointment on this case, undersigned counsel has depleted the $500.00 the Court previously authorized for an investigator. See Exhibit 2, Interim Invoice, which is attached and incorporated herein for all purposes.

Undersigned counsel was reappointed to this case on February 20, 2013. Undersigned counsel has done substantial investigative work on her own. However, undersigned counsel is not able to do everything on her own. It became necessary for undersigned counsel to contact an investigator to locate

witnesses and obtain and serve subpoenas in this case. Undersigned counsel used Cami Sandifer of Hop to It Investigations since undersigned counsel is aware that Denton County District Courts have routinely approved her appointment and rates as an investigator. Cami Sandifer was aware that undersigned counsel had been appointed at the time she began performing work on this case. Attached is the invoice of Cami Sandifer. In connection with this case, to date, she has served 14 subpoenas.

Undersigned counsel requests that this Court will authorize payment to Cami Sandifer for the subpoenas she has served to date. See Exhibit 3, invoice of Cami Sandifer, which is attached and incorporated herein for all purposes.

III. MORE INVESTIGATIVE WORK NEEDS TO BE CONDUCTED Additionally, there is more investigative work and subpoenas that need to be served in connection with this case. For instance, undersigned counsel received an email from prosecutor, Michael Dickens, on May 21, 2013, at 4:50 p.m. Said email informed undersigned counsel that Misty Simmons, a material witness for the State, may very well be incompetent at the time she is to testify.

This is obviously concerning to undersigned counsel since Ms. Simmons is the person who tested the biological evidence in this case back in 2011. Undersigned counsel is aware that Ms. Simmons resigned from her employment at Texas DPS where she was a serologist; however the reason is currently unknown. Undersigned counsel therefore needs an investigator to fully look into this issue in order to present an effective defense. To know about this issue and do nothing to pursue it would be the very definition of ineffective. In order to effectively cross examine Ms. Simmons undersigned counsel needs an investigator. Also, undersigned counsel needs the assistance of an investigator to fully explore the issue regarding the medical records. Furthermore, there will be additional subpoenas for defense witnesses that need to be served prior to trial and perhaps after trial has begun depending on what transpires.

VI. LEGAL JUSTIFICATION FOR ADDITIONAL FUNDS A.

Constitutional and Statutory Authority for Additional Funds

As grounds for this motion, Defendant asserts his rights to present a complete and effective defense, his right to confront and cross examine witnesses against him, his right to compulsory process, his right to effective assistance of counsel, and his right to due process and due course of law as guaranteed by the Fifth, Sixth, and Fourteenth Amendments to the United States Constitutions, and under Article I, sections 9, 10, 13 and 19 of the Texas Constitution; Articles 1.04, 1.051, 26.05, and 26.052 of the Texas Code of Criminal Procedure. Furthermore, as legal grounds for this motion Defendant relies on Ake v. Oklahoma, 470 U.S. 68 (1985); DeFreece v. State, 848 S.W.2d 150 (Tex.Crim.App.1993); McBride v. State, 838 S.W.2d 248 (Tex.Crim.App.1992); and Rey v. State, 897 S.W.2d 333 (Tex.Crim.App.1995).

B.

State Bar of Texas Performance Guidelines

Furthermore, in January 2011 the Texas State Bar Board of Directors adopted the “Performance Guidelines for Non-Capital Criminal Defense Representation” (hereinafter “Guidelines”). Performance Guidelines

for

Non-Capital

Criminal

Defense

Representation,

available

at

http://www.texasbar.com/Content/NavigationMenu/ForLawyers/Committees/ PerformanceGuidelinesforNon-CapitalCriminalDefenseRepresentationJanuary2011.pdf.

“The

guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.” Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). “They represent an effort to ‘hold the line’ for criminal defense practitioners against a host of financial and political pressures.” Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative assistance, including consultation and testimony, is necessary or appropriate. Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a. b.

The preparation of the defense; Adequate understanding of the prosecution’s case;

c.

Rebut the prosecution’s case or provide evidence to establish an available defense; d.

Investigate the client’s competence to proceed, mental state at the time of the offense, or capacity to make a knowing and intelligent waiver of constitutional rights; and e.

Mitigate any punishment that may be assessed after a verdict or plea of guilty to the alleged offense.

Additionally, Guideline 7.1, C.3 provides the following: Counsel should complete investigation, discovery, and research in advance of trial, such that counsel is confident that the most viable defense theory has been fully developed, pursued, and refined. This preparation should include consideration of: Obtaining funds and arranging for defense experts to consult or testify on evidentiary issues that are potentially helpful (e.g., testing of physical evidence, opinion testimony, etc.).

C.

Denton County District Courts Indigent Defense Plan

Furthermore, the Denton County District Courts Indigent Defense Plan, which was unanimously adopted by all of the District Court judges on October 7, 2009, approved on October 12, 2009, and is still in effect, authorizes additional funds for an expert if “good cause” is shown.

V. CONCLUSION While it is true that “the State need not ‘purchase for an indigent defendant all the assistance that his wealthier counterparts might buy,’ it must provide him the basic tools to present his defense within our adversarial system.” Rey v. State, 897 S.W.2d 333 (Tex. Crim. App. 1995) (citing Ake v. Oklahoma, 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53 (1985)). Undersigned counsel is simply requesting the assistance of a single investigator to perform work that undersigned counsel cannot perform on this case. The State has an investigator who is employed full time that is assigned to this case, Jack Grassman. Mr. Grassman has been present in Court for the proceedings had to date as well as applied for and obtained the subpoenas for all of the State’s witnesses and records. Undersigned counsel reasonably anticipates that the State will continue to have the use of Mr. Grassman or another or additional investigators on this case. Certainly then, it is not too much to ask this Court for additional funds for an investigator when the State has at least one investigator on hand all day long. To deny this request for additional funds for an investigator in this murder case when there are multiple lay and expert witnesses as well as the information - perhaps Brady – that has recently come to light about Misty

Simmons, would deny Defendant one of the “basic tools to present his defense,” an investigator of his own. Id. VI. REQUESTED RELIEF Accordingly, undersigned counsel requests that this Court will authorize payment to Cami Sandifer for the subpoenas she has served to date and also that the Court to authorize additional funds sufficient to obtain investigative assistance as there is good cause and legal justification for doing so in this case. Alternatively, if the attached exhibits and information contained in this motion are not sufficient evidence for the Court’s consideration, Defendant requests that under the authority of Ake v.

Oklahoma, he be granted an ex parte hearing in order to support this motion. 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53 (1985).

IX. PRAYER WHEREFORE, PREMISES CONSIDERED, Defendant prays that this motion will in all things be granted and that this Court will authorize additional sufficient funds for Defendant to retain Cami Sandifer to help her in the investigation, preparation, evaluation, presentation, and mitigation of this case.

RESPECTFULLY SUBMITTED, _____________________________________ SARAH ROLAND STATE BAR NO. 24049077 ATTORNEY FOR DEFENDANT 1409 NORTH ELM STREET DENTON, TEXAS 76201 TEL: (940) 323-9305 FAX: (940) 312-6830 EMAIL: sarah@sarahroland.com

On this the 22nd day of May, 2012, I hereby certify that Defendant’s Ex Parte Motion for Additional Funds for Investigative Assistance was presented to the trial court for consideration of same. _______________________________________ SARAH ROLAND

THE STATE OF TEXAS COUNTY OF DENTON

§ §

BEFORE ME, the undersigned authority, personally appeared SARAH ROLAND, who after being duly sworn deposed the following, to-wit: "My name is SARAH ROLAND, and I am the attorney of record for the above named defendant. I have prepared and read the above legal motion and swear that all the allegations are true and correct to the best of my knowledge and belief." ______________________________________ SARAH ROLAND SWORN TO AND SUBSCRIBED BEFORE ME on this the 22nd day of October, 2013. _________________________________ Notary Public in and for The State of Texas

CAUSE NUMBER F-2011-1675-A THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

16TH JUDICIAL DISTRICT

CHRISTOPHER SMITH

§

DENTON COUNTY, TEXAS

On this the ____ day of May, 2013, came to be heard the foregoing Motion with attached exhibits. After considering evidence and arguments of counsel, the Court orders the same should be: ______

GRANTED. ______________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

_______

DENIED, to which Defendant excepts. The Court denies the Motion for the following reason(s): ________________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________.

_______________________________________ JUDGE PRESIDING

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

NOTICE TO CLERK OF COURT: This application is to be considered EX PARTE and is filed for purposes of the record. This application is required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT TO THE HONORABLE JUDGE OF SAID COURT: COMES NOW, XAVIER GRAHAM, Defendant in the above styled and numbered cause, by and through his attorney of record, SARAH ROLAND, and files the above-styled motion and in support thereof would show the Court the following, to wit: I. Defendant was arrested for injury to a child, his only child, by the Dallas Police Department on July 3, 2011. Defendant was determined to be indigent, and undersigned counsel was appointed to represent him on August 13, 2012. See Exhibit 1, Finding Regarding Indigence and Order Appointing Counsel, attached and incorporated herein for all purposes. On August 30, 2012, Defendant was indicted for felony murder, a first degree felony, in the above-captioned case. See Exhibit 2, True Bill of Indictment, which is attached and incorporated herein for all purposes. Defendant is accused of causing the death of his three 2 ½ month old child.

Based on initial conversations with assistant district attorney, Michael Dickens, undersigned counsel reasonably believes this case will not be able to be resolved by any type of plea agreement.

II. According to the affidavit of arrest warrant for Defendant, the deceased suffered “an acute diffused brain injury, left frontal subdural hematoma, and bruising to his left flank.” See Exhibit 3, Affidavit of Arrest Warrant, which is attached and incorporated herein for all purposes. At the time the affidavit was completed, “medical evaluation of the complainant was still on-going at the time this

report was written.” Id. Additionally, according to the affidavit, the deceased was treated on scene, Presbyterian Hospital of Plano, and Children’s Medical Center of Dallas. Id. Necessarily, then, the deceased was evaluated and treated by multiple medical doctors, and there will be medical records from all locations where he was evaluated and treated.

Undersigned counsel has obtained 175 pages of medical records from Texas Health Presbyterian Plano Hospital and 43 pages of medical records from Carrollton Family Medicine and Pediatrics. The portion of the State’s file that undersigned counsel has received indicates that the deceased was evaluated and treated at Children’s Medical Center of Dallas from July 3, 2012 – July 15, 2012.

Therefore, undersigned counsel reasonably anticipates that there will be voluminous, additional medical records from Children’s Medical Center of Dallas.

Additionally, undersigned counsel has received prints of autopsy photographs. However, undersigned counsel has not yet received a copy of the autopsy report from the medical examiner’s office. The only report undersigned counsel has received form the medical examiner’s office indicates that the cause of death is “pending an investigation.” The investigation narrative indicates that the cause of death is “suspected shaken baby.”

III. Undersigned counsel reasonably anticipates that the State will rely upon the opinions of all of the medical doctors and experts who evaluated and treated the deceased at each stage in evaluating this case and determining how to proceed. Further, undersigned counsel reasonably anticipates that the State will call these medical doctors as experts in their case against Defendant.

IV. Undersigned counsel has no experience or knowledge in the medical field. Undersigned counsel will be unable to adequately interpret and comprehend evidence in this case including, but not limited to, medical evidence including photographs and reports, without the assistance of a competent medical expert of her own. It is necessary for undersigned counsel to be able to have an understanding of the medical evidence in this case in order to effectively represent Defendant. Accordingly, undersigned counsel respectfully requests that this Court grant funds for the use of a medical expert to aid Defendant

in his defense.

V. As grounds for this motion, Defendant asserts his rights to present a complete and effective defense as guaranteed by the Fifth, Sixth, and Fourteenth Amendments to the United States Constitutions, and under Article I, sections 9, 10, and 19 of the Texas Constitution; his right to effective assistance of counsel guaranteed her by the Sixth and Fourteenth Amendments to the United States Constitution, Article I, section 10 of the Texas Constitution, and article 1.051 of the Texas Code of Criminal Procedure; his rights to due process and due course of law as provided by the Fifth and Fourteenth Amendments to the United States Constitution, Article I, sections 13 and 19 of the Texas Constitution, and article 1.04 of the Texas Code of Criminal Procedure; Articles 26.05 and 26.052 of the Texas Code of Criminal Procedure; and Ake v. Oklahoma, 470 U.S. 68 (1985); DeFreece v. State, 848 S.W.2d 150 (Tex. Crim. App. 1993); McBride v. State, 838 S.W.2d 248 (Tex.Crim.App.1992); and Rey v.

State, 897 S.W.2d 333 (Tex. Crim. App. 1995).

Furthermore, in January 2011 the Texas State Bar Board of Directors adopted the “Performance Guidelines for Non-Capital Criminal Defense Representation” (hereinafter “Guidelines”). Performance Guidelines

for

Non-Capital

Criminal

Defense

Representation,

available

at

http://www.texasbar.com/Content/NavigationMenu/ForLawyers/Committees/ PerformanceGuidelinesforNon-CapitalCriminalDefenseRepresentationJanuary2011.pdf.

“The

guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.” Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). “They represent an effort to ‘hold the line’ for criminal defense practitioners against a host of financial and political pressures.” Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative assistance, including consultation and testimony, is necessary or appropriate.

Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a.

The preparation of the defense;

b. c. d.

e.

Adequate understanding of the prosecution’s case; Rebut the prosecution’s case or provide evidence to establish an available defense; Investigate the client’s competence to proceed, mental state at the time of the offense, or capacity to make a knowing and intelligent waiver of constitutional rights; and Mitigate any punishment that may be assessed after a verdict or plea of guilty to the alleged offense.

Additionally, Guideline 7.1, C.3 provides the following: Counsel should complete investigation, discovery, and research in advance of trial, such that counsel is confident that the most viable defense theory has been fully developed, pursued, and refined. This preparation should include consideration of: Obtaining funds and arranging for defense experts to consult or testify on evidentiary issues that are potentially helpful (e.g., testing of physical evidence, opinion testimony, etc.).

IV. And for such other reason that may appear upon the hearing of this motion.

V. WHEREFORE, PREMISES CONSIDERED, it is respectfully requested that this motion will in all things be granted and that this Court will authorize sufficient funds for Defendant to retain an a medical expert to help her in the investigation, preparation, evaluation, presentation, and mitigation of this case. Alternatively, Defendant requests that under the authority of Ake v. Oklahoma, he be granted an ex parte hearing in order to support this motion. 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53 (1985).

RESPECTFULLY SUBMITTED, _____________________________________ SARAH ROLAND STATE BAR NO. 24049077 ATTORNEY FOR DEFENDANT 1409 NORTH ELM STREET DENTON, TEXAS 76201 TEL: (940) 323-9305 FAX: (940) 312-6830 EMAIL: sarah@sarahroland.com

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

On this the ____ day of ________________, 2012, came to be heard the foregoing Motion.

After considering evidence and arguments of counsel, the Court orders the same should be:

______

GRANTED. ______________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

_______

DENIED, to which Defendant excepts. The Court denies the Motion for the following reasons: _________________________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

NOTICE TO CLERK OF COURT: This application and order are to be considered EX PARTE and are filed for purposes of the record. This application and order are required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT _______________________________________ JUDGE PRESIDING

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

NOTICE TO CLERK OF COURT: This application is to be considered EX PARTE and is filed for purposes of the record. This application is required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT TO THE HONORABLE JUDGE OF SAID COURT: COMES NOW, XAVIER GRAHAM, Defendant in the above styled and numbered cause, by and through his attorney of record, SARAH ROLAND, and files the above-styled motion and in support thereof would show the Court the following, to wit: I. Defendant was arrested for injury to a child, his only child, by the Dallas Police Department on July 3, 2011. Defendant was determined to be indigent, and undersigned counsel was appointed to represent him on August 13, 2012. See Exhibit 1, Finding Regarding Indigence and Order Appointing Counsel, attached and incorporated herein for all purposes. On August 30, 2012, Defendant was indicted for felony murder, a first degree felony, in the above-captioned case. See Exhibit 2, True Bill of Indictment, which is attached and incorporated herein for all purposes. Defendant is accused of causing the death of his three 2 ½ month old child.

Based on initial conversations with assistant district attorney, Michael Dickens, undersigned counsel reasonably believes this case will not be able to be resolved by any type of plea agreement.

II. Undersigned counsel has begun receiving the discovery in this case through the Denton County District Attorney’s “open file” policy. Undersigned counsel has not yet received all of the medical records, media, police reports, and witness statements. It is clear from undersigned counsel’s preliminary review of the discovery received to date, that the State will have multiple witnesses testify in this case. Additionally, based on undersigned counsel’s preliminary interviews with some of the

witnesses, undersigned counsel has learned there are multiple additional witnesses that need to be interviewed and investigated to effectively represent Defendant and put on a defense in this case.

Additionally, undersigned counsel believes there are multiple documents that need to be obtained to effectively represent Defendant. Undersigned counsel also reasonably believes that as this case progresses and full discovery is obtained there will be additional work for an investigator to perform on behalf of the defense that will be necessary to an effective and credible defense.

Accordingly, undersigned counsel respectfully requests that this Court grant sufficient funds for the use of an investigator to aid Defendant in his defense. Undersigned counsel also requests that this Court allow any appointed investigator to incur reasonable expenses (such as open records request fees, duplicating expenses, etc.) without the prior approval of the court.

III. As grounds for this motion, Defendant asserts his rights to present a complete and effective defense as guaranteed by the Fifth, Sixth, and Fourteenth Amendments to the United States Constitutions, and under Article I, sections 9, 10, and 19 of the Texas Constitution; his right to effective assistance of counsel guaranteed her by the Sixth and Fourteenth Amendments to the United States Constitution, Article I, section 10 of the Texas Constitution, and article 1.051 of the Texas Code of Criminal Procedure; his rights to due process and due course of law as provided by the Fifth and Fourteenth Amendments to the United States Constitution, Article I, sections 13 and 19 of the Texas Constitution, and article 1.04 of the Texas Code of Criminal Procedure; Articles 26.05 and 26.052 of the Texas Code of Criminal Procedure; and Ake v. Oklahoma, 470 U.S. 68 (1985); DeFreece v. State, 848 S.W.2d 150 (Tex. Crim. App. 1993); McBride v. State, 838 S.W.2d 248 (Tex. Crim. App. 1992); and Rey v.

State, 897 S.W.2d 333 (Tex. Crim. App. 1995).

Furthermore, in January 2011 the Texas State Bar Board of Directors adopted the “Performance Guidelines for Non-Capital Criminal Defense Representation” (hereinafter “Guidelines”). Performance Guidelines

for

Non-Capital

Criminal

Defense

Representation,

available

at

http://www.texasbar.com/Content/NavigationMenu/ForLawyers/Committees/ PerformanceGuidelinesforNon-CapitalCriminalDefenseRepresentationJanuary2011.pdf.

“The

guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to

encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.” Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). “They represent an effort to ‘hold the line’ for criminal defense practitioners against a host of financial and political pressures.” Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative assistance, including consultation and testimony, is necessary or appropriate.

Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a. b. c. d.

e.

The preparation of the defense; Adequate understanding of the prosecution’s case; Rebut the prosecution’s case or provide evidence to establish an available defense; Investigate the client’s competence to proceed, mental state at the time of the offense, or capacity to make a knowing and intelligent waiver of constitutional rights; and Mitigate any punishment that may be assessed after a verdict or plea of guilty to the alleged offense.

Additionally, Guideline 7.1, C.3 provides the following: Counsel should complete investigation, discovery, and research in advance of trial, such that counsel is confident that the most viable defense theory has been fully developed, pursued, and refined. This preparation should include consideration of: Obtaining funds and arranging for defense experts to consult or testify on evidentiary issues that are potentially helpful (e.g., testing of physical evidence, opinion testimony, etc.).

IV. And for such other reason that may appear upon the hearing of this motion.

V. WHEREFORE, PREMISES CONSIDERED, it is respectfully requested that this motion will in all things be granted and that this Court will authorize sufficient funds for Defendant to retain an investigator to help him in the investigation, preparation, evaluation, presentation, and mitigation of this case. Alternatively, Defendant requests that under the authority of Ake v. Oklahoma, he be granted an ex parte hearing in order to support this motion. 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53

(1985).

RESPECTFULLY SUBMITTED, _____________________________________ SARAH ROLAND STATE BAR NO. 24049077 ATTORNEY FOR DEFENDANT 1409 NORTH ELM STREET DENTON, TEXAS 76201 TEL: (940) 323-9305 FAX: (940) 312-6830 EMAIL: sarah@sarahroland.com

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

On this the ____ day of September, 2012, came to be heard the foregoing Ex Parte Sealed Motion for Funds for Investigator. After considering evidence and arguments of counsel, the Court orders the same should be:

______

GRANTED. ______________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

_______

DENIED, to which Defendant excepts. The Court denies the Motion for the following reasons: _________________________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

NOTICE TO CLERK OF COURT: This application and order are to be considered EX PARTE and are filed for purposes of the record. This application and order are required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT _______________________________________ JUDGE PRESIDING

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

NOTICE TO CLERK OF COURT: This application is to be considered EX PARTE and is filed for purposes of the record. This application is required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT TO THE HONORABLE JUDGE OF SAID COURT: COMES NOW, XAVIER GRAHAM, Defendant in the above styled and numbered cause, by and through his attorney of record, SARAH ROLAND, and files the above-styled motion and in support thereof would show the Court the following, to wit: I. Defendant was arrested for injury to a child, his only child, by the Dallas Police Department on July 3, 2011. Defendant was determined to be indigent, and undersigned counsel was appointed to represent him on August 13, 2012. See Exhibit 1, Finding Regarding Indigence and Order Appointing Counsel, attached and incorporated herein for all purposes. On August 30, 2012, Defendant was indicted for felony murder, a first degree felony, in the above-captioned case. See Exhibit 2, True Bill of Indictment, which is attached and incorporated herein for all purposes. Defendant is accused of causing the death of his three 2 ½ month old child.

Based on initial conversations with assistant district attorney, Michael Dickens, undersigned counsel reasonably believes this case will not be able to be resolved by any type of plea agreement.

II. According to the affidavit of arrest warrant for Defendant, the deceased suffered “an acute diffused brain injury, left frontal subdural hematoma, and bruising to his left flank.” See Exhibit 3, Affidavit of Arrest Warrant, which is attached and incorporated herein for all purposes. At the time the affidavit was completed, “medical evaluation of the complainant was still on-going at the time this

report was written.” Id. Additionally, according to the affidavit, the deceased was treated on scene, Presbyterian Hospital of Plano, and Children’s Medical Center of Dallas. Id. Necessarily, then, the deceased was evaluated and treated by multiple medical doctors, and there will be medical records from all locations where he was evaluated and treated.

Undersigned counsel has obtained 175 pages of medical records from Texas Health Presbyterian Plano Hospital and 43 pages of medical records from Carrollton Family Medicine and Pediatrics. The portion of the State’s file that undersigned counsel has received indicates that the deceased was evaluated and treated at Children’s Medical Center of Dallas from July 3, 2012 – July 15, 2012.

Therefore, undersigned counsel reasonably anticipates that there will be voluminous, additional medical records from Children’s Medical Center of Dallas.

Additionally, undersigned counsel has received prints of autopsy photographs. However, undersigned counsel has not yet received a copy of the autopsy report from the medical examiner’s office. The only report undersigned counsel has received form the medical examiner’s office indicates that the cause of death is “pending an investigation.” The investigation narrative indicates that the cause of death is “suspected shaken baby.”

III. Undersigned counsel reasonably anticipates that the State will rely upon the opinions of all of the medical doctors and experts who evaluated and treated the deceased at each stage in evaluating this case and determining how to proceed. Further, undersigned counsel reasonably anticipates that the State will call these medical doctors as experts in their case against Defendant.

IV. Undersigned counsel has no experience or knowledge in the medical field. Undersigned counsel will be unable to adequately interpret and comprehend evidence in this case including, but not limited to, medical evidence including photographs and reports, without the assistance of a competent medical expert of her own. It is necessary for undersigned counsel to be able to have an understanding of the medical evidence in this case in order to effectively represent Defendant. Accordingly, undersigned counsel respectfully requests that this Court grant funds for the use of a medical expert to aid Defendant

in his defense.

V. As grounds for this motion, Defendant asserts his rights to present a complete and effective defense as guaranteed by the Fifth, Sixth, and Fourteenth Amendments to the United States Constitutions, and under Article I, sections 9, 10, and 19 of the Texas Constitution; his right to effective assistance of counsel guaranteed her by the Sixth and Fourteenth Amendments to the United States Constitution, Article I, section 10 of the Texas Constitution, and article 1.051 of the Texas Code of Criminal Procedure; his rights to due process and due course of law as provided by the Fifth and Fourteenth Amendments to the United States Constitution, Article I, sections 13 and 19 of the Texas Constitution, and article 1.04 of the Texas Code of Criminal Procedure; Articles 26.05 and 26.052 of the Texas Code of Criminal Procedure; and Ake v. Oklahoma, 470 U.S. 68 (1985); DeFreece v. State, 848 S.W.2d 150 (Tex. Crim. App. 1993); McBride v. State, 838 S.W.2d 248 (Tex.Crim.App.1992); and Rey v.

State, 897 S.W.2d 333 (Tex. Crim. App. 1995).

Furthermore, in January 2011 the Texas State Bar Board of Directors adopted the “Performance Guidelines for Non-Capital Criminal Defense Representation” (hereinafter “Guidelines”). Performance Guidelines

for

Non-Capital

Criminal

Defense

Representation,

available

at

http://www.texasbar.com/Content/NavigationMenu/ForLawyers/Committees/ PerformanceGuidelinesforNon-CapitalCriminalDefenseRepresentationJanuary2011.pdf.

“The

guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.” Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). “They represent an effort to ‘hold the line’ for criminal defense practitioners against a host of financial and political pressures.” Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative assistance, including consultation and testimony, is necessary or appropriate.

Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a.

The preparation of the defense;

b. c. d.

e.

Adequate understanding of the prosecution’s case; Rebut the prosecution’s case or provide evidence to establish an available defense; Investigate the client’s competence to proceed, mental state at the time of the offense, or capacity to make a knowing and intelligent waiver of constitutional rights; and Mitigate any punishment that may be assessed after a verdict or plea of guilty to the alleged offense.

Additionally, Guideline 7.1, C.3 provides the following: Counsel should complete investigation, discovery, and research in advance of trial, such that counsel is confident that the most viable defense theory has been fully developed, pursued, and refined. This preparation should include consideration of: Obtaining funds and arranging for defense experts to consult or testify on evidentiary issues that are potentially helpful (e.g., testing of physical evidence, opinion testimony, etc.).

IV. And for such other reason that may appear upon the hearing of this motion.

V. WHEREFORE, PREMISES CONSIDERED, it is respectfully requested that this motion will in all things be granted and that this Court will authorize sufficient funds for Defendant to retain an a medical expert to help her in the investigation, preparation, evaluation, presentation, and mitigation of this case. Alternatively, Defendant requests that under the authority of Ake v. Oklahoma, he be granted an ex parte hearing in order to support this motion. 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53 (1985).

RESPECTFULLY SUBMITTED, _____________________________________ SARAH ROLAND STATE BAR NO. 24049077 ATTORNEY FOR DEFENDANT 1409 NORTH ELM STREET DENTON, TEXAS 76201 TEL: (940) 323-9305 FAX: (940) 312-6830 EMAIL: sarah@sarahroland.com

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

On this the ____ day of ________________, 2012, came to be heard the foregoing Motion.

After considering evidence and arguments of counsel, the Court orders the same should be:

______

GRANTED. ______________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

_______

DENIED, to which Defendant excepts. The Court denies the Motion for the following reasons: _________________________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

NOTICE TO CLERK OF COURT: This application and order are to be considered EX PARTE and are filed for purposes of the record. This application and order are required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT _______________________________________ JUDGE PRESIDING

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

NOTICE TO CLERK OF COURT: This application is to be considered EX PARTE and is filed for purposes of the record. This application is required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT TO THE HONORABLE JUDGE OF SAID COURT: COMES NOW, XAVIER GRAHAM, Defendant in the above styled and numbered cause, by and through his attorney of record, SARAH ROLAND, and files the above-styled motion and in support thereof would show the Court the following, to wit: I. Defendant was arrested for injury to a child, his only child, by the Dallas Police Department on July 3, 2011. Defendant was determined to be indigent, and undersigned counsel was appointed to represent him on August 13, 2012. See Exhibit 1, Finding Regarding Indigence and Order Appointing Counsel, attached and incorporated herein for all purposes. On August 30, 2012, Defendant was indicted for felony murder, a first degree felony, in the above-captioned case. See Exhibit 2, True Bill of Indictment, which is attached and incorporated herein for all purposes. Defendant is accused of causing the death of his three 2 ½ month old child.

Based on initial conversations with assistant district attorney, Michael Dickens, undersigned counsel reasonably believes this case will not be able to be resolved by any type of plea agreement.

II. Undersigned counsel has begun receiving the discovery in this case through the Denton County District Attorney’s “open file” policy. Undersigned counsel has not yet received all of the medical records, media, police reports, and witness statements. It is clear from undersigned counsel’s preliminary review of the discovery received to date, that the State will have multiple witnesses testify in this case. Additionally, based on undersigned counsel’s preliminary interviews with some of the

witnesses, undersigned counsel has learned there are multiple additional witnesses that need to be interviewed and investigated to effectively represent Defendant and put on a defense in this case.

Additionally, undersigned counsel believes there are multiple documents that need to be obtained to effectively represent Defendant. Undersigned counsel also reasonably believes that as this case progresses and full discovery is obtained there will be additional work for an investigator to perform on behalf of the defense that will be necessary to an effective and credible defense.

Accordingly, undersigned counsel respectfully requests that this Court grant sufficient funds for the use of an investigator to aid Defendant in his defense. Undersigned counsel also requests that this Court allow any appointed investigator to incur reasonable expenses (such as open records request fees, duplicating expenses, etc.) without the prior approval of the court.

III. As grounds for this motion, Defendant asserts his rights to present a complete and effective defense as guaranteed by the Fifth, Sixth, and Fourteenth Amendments to the United States Constitutions, and under Article I, sections 9, 10, and 19 of the Texas Constitution; his right to effective assistance of counsel guaranteed her by the Sixth and Fourteenth Amendments to the United States Constitution, Article I, section 10 of the Texas Constitution, and article 1.051 of the Texas Code of Criminal Procedure; his rights to due process and due course of law as provided by the Fifth and Fourteenth Amendments to the United States Constitution, Article I, sections 13 and 19 of the Texas Constitution, and article 1.04 of the Texas Code of Criminal Procedure; Articles 26.05 and 26.052 of the Texas Code of Criminal Procedure; and Ake v. Oklahoma, 470 U.S. 68 (1985); DeFreece v. State, 848 S.W.2d 150 (Tex. Crim. App. 1993); McBride v. State, 838 S.W.2d 248 (Tex. Crim. App. 1992); and Rey v.

State, 897 S.W.2d 333 (Tex. Crim. App. 1995).

Furthermore, in January 2011 the Texas State Bar Board of Directors adopted the “Performance Guidelines for Non-Capital Criminal Defense Representation” (hereinafter “Guidelines”). Performance Guidelines

for

Non-Capital

Criminal

Defense

Representation,

available

at

http://www.texasbar.com/Content/NavigationMenu/ForLawyers/Committees/ PerformanceGuidelinesforNon-CapitalCriminalDefenseRepresentationJanuary2011.pdf.

“The

guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to

encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.” Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). “They represent an effort to ‘hold the line’ for criminal defense practitioners against a host of financial and political pressures.” Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative assistance, including consultation and testimony, is necessary or appropriate.

Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a. b. c. d.

e.

The preparation of the defense; Adequate understanding of the prosecution’s case; Rebut the prosecution’s case or provide evidence to establish an available defense; Investigate the client’s competence to proceed, mental state at the time of the offense, or capacity to make a knowing and intelligent waiver of constitutional rights; and Mitigate any punishment that may be assessed after a verdict or plea of guilty to the alleged offense.

Additionally, Guideline 7.1, C.3 provides the following: Counsel should complete investigation, discovery, and research in advance of trial, such that counsel is confident that the most viable defense theory has been fully developed, pursued, and refined. This preparation should include consideration of: Obtaining funds and arranging for defense experts to consult or testify on evidentiary issues that are potentially helpful (e.g., testing of physical evidence, opinion testimony, etc.).

IV. And for such other reason that may appear upon the hearing of this motion.

V. WHEREFORE, PREMISES CONSIDERED, it is respectfully requested that this motion will in all things be granted and that this Court will authorize sufficient funds for Defendant to retain an investigator to help him in the investigation, preparation, evaluation, presentation, and mitigation of this case. Alternatively, Defendant requests that under the authority of Ake v. Oklahoma, he be granted an ex parte hearing in order to support this motion. 470 U.S. 68, 77, 105 S.Ct. 1087, 1093, 84 L.Ed.2d 53

(1985).

RESPECTFULLY SUBMITTED, _____________________________________ SARAH ROLAND STATE BAR NO. 24049077 ATTORNEY FOR DEFENDANT 1409 NORTH ELM STREET DENTON, TEXAS 76201 TEL: (940) 323-9305 FAX: (940) 312-6830 EMAIL: sarah@sarahroland.com

CAUSE NUMBER F-2012-1948-C THE STATE OF TEXAS

§

IN THE DISTRICT COURT

VS.

§

211TH JUDICIAL DISTRICT

XAVIER GRAHAM

§

DENTON COUNTY, TEXAS

On this the ____ day of September, 2012, came to be heard the foregoing Ex Parte Sealed Motion for Funds for Investigator. After considering evidence and arguments of counsel, the Court orders the same should be:

______

GRANTED. ______________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

_______

DENIED, to which Defendant excepts. The Court denies the Motion for the following reasons: _________________________________________________________ _________________________________________________________ _________________________________________________________ _________________________________________________________.

NOTICE TO CLERK OF COURT: This application and order are to be considered EX PARTE and are filed for purposes of the record. This application and order are required to be SEALED, by law, and disclosure can be made ONLY to the TRIAL COURT and COUNSEL FOR DEFENDANT _______________________________________ JUDGE PRESIDING

Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Lunch Presentation: Keep Your Head in Game | Mental Health

Speaker:

Joe Stephens

701 Oak Park Dr. Apt. 7116 Boerne, TX 78006 (512) 350-1478 phone joseph.stephens@medinacountytexas.org

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Art. 16.22 Procedure Flowchart Sheriff or Jailer determines that an inmate exhibits mental illness or intellectual disability

Magistrate at 15.17 hearing determines that an inmate exhibits mental illness or intellectual disability

If the defendant refuses to give information, the magistrate may order them to be evaluated at a jail, or in another place determined to be appropriate by the local mental health or intellectual/developmental disability authority for up to 72 hours.

Within 12 hours, the sheriff or jailer shall provide written or electronic notice to the magistrate. This notice to the magistrate must contain all information related to the determination of a mental illness or intellectual disability, including details of the defendant’s behavior and the results of any assessment given to the defendant.

If there is reasonable cause to believe that the defendant has a mental illness or intellectual disability, the magistrate shall order the service provider that contracts with the jail, the local mental health authority, the local intellectual and developmental disability authority, or another qualified mental health expert to interview the defendant, collect information, and give the magistrate a written report.

This is not required if the defendant has already been interviewed since they were arrested or if they have been determined to have a mental illness within the previous year.

If an interview is ordered, it may be conducted in person in the jail, by phone, or through a telemedicine medical or telehealth service.

If the defendant is still in custody, the magistrate must receive the report within 96 hours, otherwise within 30 days.

The report must be given to the prosecutor, defense attorney and trial court, but is otherwise confidential.

RELEASE ON PERSONAL BOND FOR MENTAL HEALTH TREATMENT A magistrate shall release a defendant on personal bond unless good cause is shown otherwise if all of the following five conditions apply: 1) The defendant is not charged with and has not been previously convicted of a violent offense; 2) The defendant is examined as described above; 3) The expert concludes that the defendant has a mental illness or intellectual disability and recommends mental health treatment or intellectual and developmental disability services; 4) The magistrate determines that treatment or services are available; and 5) The magistrate determines that release on personal bond would reasonably ensure the defendant's appearance in court and the safety of the community and the victim of the alleged offense.

The magistrate, unless good cause is shown, shall require as a condition of the bond that the defendant submit to mental health treatment or intellectual/developmental disability services as recommended if the defendant’s condition is chronic in nature, or if the defendant’s ability to function independently will continue to deteriorate if they do not.

MENTAL HEALTH HANDBOOK 2019 H

Basic Information for County Officers

2019 MENTAL HEALTH HANDBOOK TEXAS ASSOCIATION OF COUNTIES 1210 San Antonio Street Austin, Texas 78701 Honorable Larry Gallardo Hidalgo County Constable & Association President Susan M. Redford Executive Director

PREPARED BY ASSOCIATION LEGAL DEPARTMENT Garry A. Merritt General Counsel Katherine Howard Associate General Counsel Laura V. Garcia Associate General Counsel Paul Miles Associate General Counsel

Mike Thompson, Jr. Associate General Counsel Kristi Shepperson Operations Manager and Paralegal Monica Nuñez Paralegal

THIS PUBLICATION IS A RESEARCH TOOL AND NOT THE COUNSEL OF AN ATTORNEY. THIS PUBLICATION IS NOT A SUBSTITUTE FOR THE ADVICE OF AN ATTORNEY. It is provided without warranty of any kind and, as with any research tool, should be double checked against relevant statutes, case law, attorney general opinions and advice of legal counsel e.g., your county attorney. Each public officer is responsible for determining duties of the office or position held. Any question regarding such duties should be directed to competent legal counsel for a written opinion.

© Copyright July 2019, Texas Association of Counties

The Texas Association of Counties (TAC) would like to recognize the leadership and support of Judge Barbara Hervey of the Texas Court of Criminal Appeals, Chair of the Grants Committee, and co-chair of the Joint Commission on Mental Health. TAC would also like to acknowledge the generous financial support of the Texas Court of Criminal Appeals and the Judicial and Court Personnel Training Fund.

This Mental Health Handbook is a research tool designed to help county officials effectively navigate the growing mental health crisis. Additional copies may be obtained by contacting the Legal Division of the Texas Association of Counties at 888-275-8224, or online at www.county.org.

© Copyright July 2019, Texas Association of Counties

Mental Health Handbook Table of Contents Glossary of Terms Applications for Court Ordered Mental Health Services and Orders of Protective Custody Emergency Detention Interaction with Law Enforcement Magistrates Role in Assessing Defendant Mental Health (Sandra Bland Act) Guardianship Proceedings Juvenile Mental Health Matters Mental Illness and Incompetency to Stand Trial Exhibits: 1. Application for Emergency Detention 2. Magistrate’s Order and Warrant for Emergency Apprehension and Detention 3. Notification of Emergency Detention 4. Inmate Mental Condition Report to Magistrate per Article 16.22 5. Order Requiring Defendant to Submit to Article 16.22 Assessment 6. Collection of Information Form for Mental Illness and Intellectual Disability 7. Mental Illness Screening Flowchart 8. Application for Appointment of Permanent Guardian of the Person 9. Court Ordered Instructions for Guardian of Person or Estate 10.Duties of Guardian of the Person July 2019

GLOSSARY OF TERMS Deterioration - the process of becoming progressively worse. To diminish or impair in quality, character, or value.

Intellectual disability – means “significantly sub-average general intellectual functioning that is concurrent with deficits in adaptive behavior and originates during the developmental period.” Health & Safety Code § 591.003(7-a) and (20).

Local mental health authority – community mental health services are provided through Local Mental Health Authorities/Local Behavioral Health Authorities, also referred to as community mental health centers. The LMHAs/LBHAs provide services to a specific geographic area of the state, called the local service area.

Magistrate – a civil officer or lay judge who administers the law, especially one who conducts a court that deals with minor offenses and holds preliminary hearings for more serious ones.

Memorandum of Understanding (MOU) – A nonbinding written document that states the responsibilities of each party to an agreement.

Mental illness – defined as “an illness, disease, or condition, other than epilepsy, dementia, substance abuse, or intellectual disability that: A) substantially impairs a person’s thought, perception of reality, emotional process, or judgment; or B) grossly impairs behavior as demonstrated by recent disturbed behavior.” Health & Safety Code § 571.003(14).

Mental health – a person’s condition with regard to their psychological and emotional well-being.

Mental health facility – means any licensed private hospital or hospital affiliate, institution, or facility, or part thereof, and any facility, or part thereof, operated by the State or a political subdivision thereof which provide treatment of persons with mental illness and includes all hospitals, institutions, clinics, evaluation facilities, mental health centers, colleges, universities, long-term care facilities, and nursing homes, or parts thereof, which provide treatment of persons with mental illness whether or not the primary purpose is to provide treatment of person with mental illness. (FOID Act, Sec 1.1).

Office of Court Administration (OCA) – the office is a unique state agency in the Judicial Branch that operates under the direction and supervision of the Supreme Court of

Texas and the Chief Justice. Their mission is to provide resources and information for the efficient administration of the Judicial Branch of Texas.

Personal bond – a bond made by the defendant in which he agrees to appear for any hearings and for trial and in the event he fails to appear then he agrees to pay the amount set by the magistrate at the time he entered into the bond.

Psychoactive medication – is a chemical substance that changes brain function and results in alterations in perception, mood, consciousness, cognition, or behavior.

Sub-average general intellectual functioning – refers “to measured intelligence on standardized psychometric instruments of two or more standard deviations below the age-group mean for the tests used.” Health & Safety Code § 591.003(7-a) and (20).

Texas Code of Criminal Procedure – the procedure shall govern all criminal proceedings instituted after the effective date of this Act, January 1, 1966, and all proceedings pending upon the effective date hereof insofar as are applicable. This Code is intended to embrace rules applicable to the prevention and prosecution of offenses against the laws of this State, and to make the rules of procedure in respect to the prevention and punishment of offenses intelligible to the officers who are to act under them, and to all persons whose rights are to be affected by them.

Violent offense – for the purposes of Article 17 of the Code of Criminal Procedure means an offense under Penal Code sections: 19.02 (murder); 19.03 (capital murder); 20.03 (kidnapping); 20.04 (aggravated kidnapping); 21.11 (indecency with a child); 22.01(a)(1) (assault), if the offense involved family violence as defined by Section 71.004, Family Code; 22.011 (sexual assault); 22.02 (aggravated assault); 22.021 (aggravated sexual assault); 22.04 (injury to a child, elderly, or disabled individual); 29.03 (aggravated robbery); 21.02 (continuous sexual abuse of young child or children); 20A.03 (continuous trafficking of persons). Art. 17.032(a)

COURT ORDERED MENTAL HEALTH SERVICES & ORDERS OF PROTECTIVE CUSTODY Texas Health & Safety Code Chapter 574 sets out procedures for applications and hearings for court ordered mental health services and motions and orders of protective custody related to applications for court ordered mental health services.

Application for Court Ordered Mental Health Services, Proper Court, and Attorney for Proposed Patient Q: Who may file an application for court ordered mental health services?

A: A county or district attorney or other adult may file a sworn application for court ordered mental health services. However, only the district or county attorney may file an application that is not accompanied by a certificate of medical examination. Tex. Health & Safety Code §574.001(a).

Q: Where is the application filed?

A: With one exception, the application must be filed with the county clerk in the county in which the proposed patient resides, is found, or is receiving mental health services by court order or under an order for emergency detention under Texas Health & Safety Code Chapter 573. However, if the proposed patient is a child in the custody of the Texas Juvenile Justice Department, the application may be filed in the county in which the child’s commitment to TJJD was ordered. Tex. Health & Safety Code §574.001(b), (f).

Q: Is the application subject to transfer to another jurisdiction?

A: Yes. If the application is not filed in the county in which the proposed patient resides, the court may, on request of the proposed patient or the proposed patient’s attorney and if good cause is shown, transfer the application to that county. Also, an application may be transferred to the county in which the person is being detained under an Order of Protective Custody if the county to which the application is to be transferred approves such transfer. Tex. Health & Safety Code §574.001(c), (d).

Q: What is the proper court for a proceeding for court ordered mental health services or an order of protective custody?

A: Either proceeding must be held in the statutory or constitutional county court that has the jurisdiction of a probate court in mental illness matters. A motion for an order of 1 July 2019

protective custody may be filed only in the court in which an application for courtordered mental health services is pending. If the hearing is to be held in a county court in which the judge is not a licensed attorney, the proposed patient or the proposed patient's attorney may request that the proceeding be transferred to a court with a judge who is licensed to practice law in Texas. The county judge shall transfer the case after receiving the request and the receiving court shall hear the case as if it had been originally filed in that court. Tex. Health & Safety Code §574.008 and 574.021(a).

Q: What must be included in the application?

A: The application must state whether the application is for temporary or extended mental health services and include: (1) the proposed patient's name and address; (2) the proposed patient's county of residence; (3) a statement that the proposed patient is a person with mental illness and meets the criteria in Tex. Health & Safety Code §574.034, 574.0345, 574.035 or 574.0355 for court ordered mental health services; and (4) whether the proposed patient is charged with a criminal offense. Tex. Health & Safety Code §574.002(b), (c).

The application must be styled using the proposed patient’s initials and not his or her full name. Tex. Health & Safety Code §574.002(a).

An application for extended inpatient mental health services must state that the person has received court ordered inpatient mental health services under the Texas Mental Health Code or under Code of Criminal Procedure Chapter 46B, Subchapter D or E, for at least 60 consecutive days during the preceding 12 months. Tex. Health & Safety Code §574.002(b).

An application for extended outpatient mental health services must state that the person has received: (1) court ordered inpatient mental health services under the Texas Mental Health Code or under Code of Criminal Procedure Chapter 46B, Subchapter D or E, for a total of at least 60 days during the preceding 12 months; or (2) court ordered outpatient mental health services under the Texas Mental Health Code or under Code of Criminal Procedure Chapter 46B, Subchapter D or E, during the preceding 60 days. Tex. Health & Safety Code §574.002(b).

2 July 2019

Q: Is the proposed patient represented by counsel?

A: If the proposed patient does not have an attorney, the judge shall appoint an attorney to represent the proposed patient within 24 hours after the time an application for court ordered mental health services is filed. The court shall inform the attorney in writing of the attorney's duties and the attorney shall be furnished with all records and papers and is entitled to have access to all hospital and physicians' records in the case.

Tex. Health & Safety Code §574.003.

Q: What are the duties of the attorney for the proposed patient?

A: The attorney has significant duties set out in Tex. Health & Safety Code §574.004, including the requirements to: - interview the proposed patient within a reasonable time before the date of the hearing on the application; - thoroughly discuss with the proposed patient the law and facts of the case, the proposed patient's options, and the grounds on which the court ordered mental health services are being sought; - if the attorney is court appointed, inform the proposed patient that the proposed patient may obtain personal legal counsel at the proposed patient's expense instead of accepting the court-appointed counsel; - Before a hearing, review the application, the certificates of medical examination for mental illness, and the proposed patient's relevant medical records, interview supporting witnesses and other witnesses who will testify at the hearing, and explore the least restrictive treatment alternatives to court ordered inpatient mental health services; - advise the proposed patient of the proposed patient's right to attend a hearing or to waive the right to attend a hearing and inform the court why a proposed patient is absent from a hearing; and - discuss with the proposed patient the procedures for appeal, release, and discharge if the court orders participation in mental health services and other rights the proposed patient may have during the period of the court's order.

3 July 2019

Certificates of Medical Examination and Independent Psychiatric Examination Q: What are the requirements for a certificate of medical examination for mental illness?

A: A hearing on an application for court ordered mental health services may not be held unless there are on file with the court at least two certificates of medical examination for mental illness completed by different physicians, each of whom has examined the proposed patient during the preceding 30 days. At least one of the physicians must be a psychiatrist if a psychiatrist is available in the county. Tex. Health & Safety Code §574.009(a).

The certificate must be sworn to, dated, and signed by the examining physician and must include the detailed reason for each of the examining physician's opinions. Tex. Health & Safety Code §574.011(a), (e).

The certificate must include: (1) the name and address of the examining physician; (2) the name and address of the person examined; (3) the date and place of the examination; (4) a brief diagnosis of the examined person's physical and mental condition; (5) the period, if any, during which the examined person has been under the care of the examining physician; (6) an accurate description of the mental health treatment, if any, given by or administered under the direction of the examining physician; and (7) the examining physician's opinion that: (A) the examined person is a person with mental illness; and (B) as a result of that illness the examined person is likely to cause serious harm to the person or to others or is: (i) suffering severe and abnormal mental, emotional, or physical distress; (ii) experiencing substantial mental or physical deterioration of the proposed patient's ability to function independently, which is exhibited by the proposed patient's inability, except for reasons of indigence, to provide for the proposed patient's basic needs, including food, clothing, health, or safety; and (iii) not able to make a rational and informed decision as to whether to submit to treatment. Tex. Health & Safety Code §574.011(a).

4 July 2019

If the certificate is offered in support of an application for extended mental health services, the certificate must also include the examining physician's opinion that the examined person's condition is expected to continue for more than 90 days. Tex. Health & Safety Code §574.011(c).

Q: What if the certificates are not filed with the application?

A: If the certificates are not filed with the application, the judge or magistrate may appoint the necessary physicians to examine the proposed patient and file the certificates. Tex. Health & Safety Code §574.009(b).

If the certificates are not on file at the time set for the hearing on the application, the judge shall dismiss the application and order the immediate release of the proposed patient if that person is not at liberty. If extremely hazardous weather conditions exist or a disaster occurs, the presiding judge or magistrate may by written order made each day extend the period during which the two certificates of medical examination for mental illness may be filed, and the person may be detained until 4 p.m. on the first succeeding business day. The written order must declare that an emergency exists because of the weather or the occurrence of a disaster. Tex. Health & Safety Code §574.009(d).

Q: What if the proposed patient does not voluntarily submit to the physician’s examination?

A: The judge or designated magistrate may order the proposed patient to submit to the examination and may issue a warrant authorizing a peace officer to take the proposed patient into custody for the examination. Tex. Health & Safety Code §574.009(c).

Q: Is there a process for independent psychiatric examination of the proposed patient?

A: The court may order an independent evaluation of the proposed patient by a psychiatrist chosen by the proposed patient if the court determines that the evaluation will assist the finder of fact. The psychiatrist may testify on behalf of the proposed patient. If the court determines that the proposed patient is indigent, the court may authorize reimbursement to the attorney ad litem for court-approved expenses incurred in obtaining expert testimony and may order the proposed patient's county of residence to pay the expenses. Tex. Health & Safety Code §574.010.

5 July 2019

Q: What are the duties of the LMHA in this proceeding?

A: Unless the proposed treatment for the proposed patient would be in a private mental health facility, the local mental health authority in the county in which an application is filed shall file with the court a recommendation for the most appropriate treatment alternative for the proposed patient. If outpatient treatment is recommended, the local mental health authority will also file a statement as to whether the proposed mental health services are available. Tex. Health & Safety Code §574.012(a), (c).

Hearing on Application for Court Ordered Mental Health Services Q: When must the hearing on an application for court ordered mental health services be held?

A: The judge or a magistrate shall set a date for a hearing to be held within 14 days after the date on which the application is filed. The hearing may not be held during the first three days after the application is filed if the proposed patient or the proposed patient's attorney objects. The court may grant one or more continuances of the hearing on the motion by a party and for good cause shown or on agreement of the parties. However, the hearing shall be held not later than the 30th day after the date on which the original application is filed. If extremely hazardous weather conditions exist or a disaster occurs that threatens the safety of the proposed patient or other essential parties to the hearing, the judge or magistrate may, by written order made each day, postpone the hearing for 24 hours. The written order must declare that an emergency exists because of the weather or the occurrence of a disaster. Tex. Health & Safety Code §574.005.

The hearing on an application may not be held before the recommendation by the LMHA for treatment is filed unless the court determines that an emergency exists. Tex. Health & Safety Code §574.012(d).

Q: What must be proved at the hearing?

A: The proof requirements for an application for court ordered mental health services differ depending on whether the application is for temporary or extended services and inpatient or outpatient services.

The judge may order a proposed patient to receive court ordered temporary inpatient mental health services only if the judge or jury finds, from clear and convincing evidence, that: 6 July 2019

(1) the proposed patient is a person with mental illness; and (2) as a result of that mental illness the proposed patient: (A) is likely to cause serious harm to himself or herself or others; or (B) is: (i) suffering severe and abnormal mental, emotional, or physical distress; (ii) experiencing substantial mental or physical deterioration of the proposed patient's ability to function independently, which is exhibited by the proposed patient's inability, except for reasons of indigence, to provide for the proposed patient's basic needs, including food, clothing, health, or safety; and (iii) unable to make a rational and informed decision as to whether or not to submit to treatment.

Tex. Health & Safety Code §574.034(a).

The judge may order a proposed patient to receive court ordered temporary outpatient mental health services only if: (1) the judge finds that appropriate mental health services are available to the proposed patient; and (2) the judge or jury finds, from clear and convincing evidence, that: (A) the proposed patient is a person with severe and persistent mental illness; (B) as a result of the mental illness, the proposed patient will, if not treated, experience deterioration of the ability to function independently to the extent that the proposed patient will be unable to live safely in the community without court ordered outpatient mental health services; (C) outpatient mental health services are needed to prevent a relapse that would likely result in serious harm to the proposed patient or others; and (D) the proposed patient has an inability to participate in outpatient treatment services effectively and voluntarily, demonstrated by (i) any of the proposed patient's actions occurring within the two-year period that immediately precedes the hearing; or (ii) specific characteristics of the proposed patient's clinical condition that significantly impairs the proposed patient’s ability to make a rational and informed decision whether to submit to voluntary outpatient treatment. Tex. Health & Safety Code §574.0345, effective 09/01/19.

7 July 2019

The judge may order a proposed patient to receive court ordered extended inpatient mental health services only if the jury, or the judge if the right to a jury is waived, finds, from clear and convincing evidence, that: (1) the proposed patient is a person with mental illness; (2) as a result of that mental illness the proposed patient: (A) is likely to cause serious harm to himself or herself or others; or (B) is: (i) suffering severe and abnormal mental, emotional, or physical distress; (ii) experiencing substantial mental or physical deterioration of the proposed patient's ability to function independently, which is exhibited by the proposed patient's inability, except for reasons of indigence, to provide for the proposed patient's basic needs, including food, clothing, health, or safety; and (iii) unable to make a rational and informed decision as to whether or not to submit to treatment; (3) the proposed patient's condition is expected to continue for more than 90 days; and (4) the proposed patient has received court ordered inpatient mental health services under the Texas Mental Health Code or under Chapter 46B, Code of Criminal Procedure, for at least 60 consecutive days during the preceding 12 months.

Tex. Health & Safety Code §574.035(a).

The judge may order a proposed patient to receive court ordered extended outpatient mental health services only if: (1) the judge finds that appropriate mental health services are available to the proposed patient; and (2) the jury, or the judge if the right to a jury is waived, finds from clear and convincing evidence that: (A) the proposed patient is a person with severe and persistent mental illness; (B) as a result of the mental illness, the proposed patient will, if not treated, experience deterioration of the ability to function independently to the extent that the proposed patient will be unable to live safely in the community without court ordered outpatient mental health services; (C) outpatient mental health services are needed to prevent a relapse that would likely result in serious harm to the proposed patient or others; and 8 July 2019

(D) the proposed patient has an inability to participate in outpatient treatment services effectively and voluntarily, demonstrated by (i) any of the proposed patient's actions occurring within the two-year period which immediately precedes the hearing; or (ii) specific characteristics of the proposed patient's clinical condition that significantly impair the proposed patient’s ability to make a rational and informed decision whether to submit to voluntary outpatient treatment; (E) the proposed patient's condition is expected to continue for more than 90 days; and (F) the proposed patient has received (i) court ordered inpatient mental health services under the Texas Mental Health Code or under Subchapter D or E, Chapter 46B, Code of Criminal Procedure, for a total of at least 60 days during the preceding 12 months; or (ii) court ordered outpatient mental health services under the Texas Mental Health Code or under Subchapter D or E, Chapter 46B, Code of Criminal Procedure, during the preceding 60 days. Tex. Health & Safety Code §574.0355(a), effective 09/01/19.

In a hearing for extended inpatient or outpatient mental health services under Section 574.035 or 574.0355, the court may not make its findings solely from the certificates of medical examination for mental illness but shall hear testimony. The court may not enter an order for extended mental health services unless appropriate findings are made and are supported by testimony taken at the hearing. The testimony must include competent medical or psychiatric testimony. Tex. Health & Safety Code §574.031(d-2), effective 09/01/19.

Q: What must be included in the court’s order for court ordered mental health services?

A: After a hearing in which a person is found to be a person with mental illness and to meet the criteria for court ordered temporary or extended mental health services, the judge shall order the mental health services provided in the least restrictive appropriate setting available. Tex. Health & Safety Code §574.036(d).

In an order for inpatient care, the court shall commit the patient to a designated inpatient mental health facility. Tex. Health & Safety Code §574.041(a).

An order for temporary inpatient or temporary outpatient mental health services may not provide for a period of treatment longer than 45 days, except that the order may specify a period not to exceed 90 days if the judge finds that the longer period is 9 July 2019

necessary. Tex. Health & Safety Code §574.034(g), effective 09/01/19, and Tex. Health & Safety Code §574.0345(c), effective 09/01/19.

An order for extended inpatient or extended outpatient mental health services may not provide for a period of treatment longer than 12 months. Tex. Health & Safety Code §574.035(h), effective 09/01/19, and Tex. Health & Safety Code §574.0355(d), effective 09/01/19.

A judge may not issue an order for temporary or extended outpatient mental health services for a proposed patient who is charged with a criminal offense that involves an act, attempt, or threat of serious bodily injury to another person. Tex. Health & Safety Code §574.0345(d), effective 09/01/19, and Tex. Health & Safety Code §574.0355(e), effective 09/01/19.

In an order for outpatient care, the court shall designate the person identified as responsible for providing those services. The person designated must be the facility administrator or an individual involved in providing court ordered outpatient services.

A person may not be designated as responsible for the ordered services without the person's consent unless the person is the facility administrator of a department facility or the facility administrator of a community center that provides mental health services in the region in which the committing court is located. Tex. Health & Safety Code §574.037(a).

Orders for Protective Custody Q: What is an Order for Protective Custody (OPC)?

A: An OPC may only be issued by a court in which an application for court ordered mental health services is pending. The OPC directs a person authorized by law to transport patients to take the proposed patient into protective custody and transport the person immediately to a mental health facility deemed suitable by the local mental health authority for the area. On request of the local mental health authority, the judge may order that the proposed patient be detained in an inpatient mental health facility operated by the department. Tex. Health & Safety Code §574.021 and §574.023.

10 July 2019

Q: Who may file a Motion for Order for Protective Custody?

A: The motion may be filed by the county or district attorney or on the court's own motion. Tex. Health & Safety Code §574.021(a).

The motion must be accompanied by a certificate of medical examination for mental illness prepared by a physician who has examined the proposed patient not earlier than the third day before the day the motion is filed. Tex. Health & Safety Code §574.021(d).

Q: What is the court’s standard for issuing an Order for Protective Custody?

A: The judge or designated magistrate may issue an OPC if the judge or magistrate determines: (1) that a physician has stated the physician's opinion and the detailed reasons for the physician's opinion that the proposed patient is a person with mental illness; and (2) the proposed patient presents a substantial risk of serious harm to the proposed patient or others if not immediately restrained pending the hearing. Tex. Health & Safety Code §574.022(a).

The judge or magistrate may make a determination that the proposed patient meets the criteria for an OPC from the application and certificate alone if the judge or magistrate determines that the conclusions of the applicant and certifying physician are adequately supported by the information provided. However, the judge or magistrate may take additional evidence if a fair determination of the matter cannot be made from consideration of the application and certificate only. Tex. Health & Safety Code §574.022(c), (d).

The judge or magistrate may issue an OPC for a proposed patient who is charged with a criminal offense if the proposed patient meets the requirements for an OPC and the facility administrator designated to detain the proposed patient agrees to the detention.

Tex. Health & Safety Code §574.022(e).

Q: Is the person subject to the OPC represented by counsel?

A: When an OPC is signed, the judge or designated magistrate shall appoint an attorney to represent a proposed patient who does not have an attorney. Tex. Health & Safety Code §574.024(a).

11 July 2019

Q: For how long is an OPC in effect?

A: Within 72 hours after the time that the proposed patient was detained under an OPC, a hearing must be held to determine if: (1) there is probable cause to believe that a proposed patient under a protective custody order presents a substantial risk of serious harm to the proposed patient or others to the extent that the proposed patient cannot be at liberty pending the hearing on court ordered mental health services; and (2) a physician has stated the physician's opinion and the detailed reasons for the physician's opinion that the proposed patient is a person with mental illness. Tex. Health & Safety Code §574.025(a), (b).

If the 72 hour period ends on a Saturday, Sunday, or legal holiday, the hearing must be held on the next day that is not a Saturday, Sunday, or legal holiday. The judge or magistrate may postpone the hearing each day for an additional 24 hours if the judge or magistrate declares that an extreme emergency exists because of extremely hazardous weather conditions or the occurrence of a disaster that threatens the safety of the proposed patient or another essential party to the hearing. Tex. Health & Safety Code §574.025(b).

If the judge or magistrate determines after the hearing that an adequate factual basis exists for probable cause to believe that the proposed patient presents a substantial risk of serious harm to himself or others to the extent that he cannot remain at liberty pending the hearing on court ordered mental health services, then the judge or magistrate shall order that a proposed patient remain in protective custody until a final order for court ordered mental health services is entered or the person is released or discharged after a finding that such services are not necessary. Tex. Health & Safety Code §574.026 and §574.027.

If the judge or magistrate determines after the hearing that no probable cause exists to believe that the proposed patient presents a substantial risk of serious harm to himself or others, then the judge or magistrate shall order the release of the person under the OPC. Tex. Health & Safety Code §574.028.

12 July 2019

EMERGENCY DETENTION Introduction In the state of Texas, any adult, including a physician or a person’s guardian, may submit an application to have an individual detained and evaluated for mental illness. The application must be submitted in person to a judge or magistrate, except that a physician may submit an application by secure email or certain other secure electronic means. In order to grant the application, the magistrate must find reasonable cause to believe, among other things, that the proposed detainee has evidenced mental illness and a substantial risk exists for serious harm to the person and others. If the judge or magistrate issues the warrant or order for emergency detention, the person is transported to a mental health facility for a custody period of 48 hours. The preliminary examination by a physician generally must take place within 12 hours of admission. After the examination, the patient must be released unless the physician makes a written determination that the patient has mental illness and should be detained at a mental health facility.

Application for Emergency Detention Q: Who may file an application for emergency detention?

A: Any adult may file a written application 1 for emergency detention of another person.

Tex. Health & Safety Code §573.011(a).

Q: Where is the application for emergency detention filed?

A: Unless the application is made by a physician or is in a probate court that has adopted an administrative order, the application must be presented personally to a judge or magistrate. Tex. Health & Safety Code §573.012(a).

Q: How is the application for emergency detention filed in court with probate jurisdiction?

A: A court with probate jurisdiction may adopt an administrative order allowing the emergency detention application to be retained by court staff and presented to another judge/magistrate as soon as practicable if the judge is not available at the time the application is presented. Tex. Health & Safety Code §573.012(a).

1

See Exhibit 1 for a sample of the Application for Emergency Detention.

1 July 2019

If there is more than one court with probate jurisdiction in the county, the administrative order must be jointly issued by all the judges of those courts. Tex. Health & Safety Code §573.012(g).

Q: How is the application for emergency detention filed by a physician?

A: The judge/magistrate may allow a physician to present an emergency detention application by e-mailed .pdf or by secure electronic means including satellite transmission, closed-circuit television transmission, or any other secure method of twoway electronic communication that is available to the judge/magistrate and provides for full motion audio/video between the applicant and the judge/magistrate. Tex. Health & Safety Code §573.012(h).

Q: How may the judge or magistrate transmit their order (warrant) to the physician?

A: The judge/magistrate may transmit the warrant to the physician electronically with a digital signature or by email with the warrant attached as a .pdf with the judge/magistrate’s signature.

Q: How does the judge or magistrate file the physician’s application for emergency detention?

A: The judge/magistrate shall record the physician’s application to be preserved until the patient is released or discharged. The patient may receive a copy of the recording at the cost of reproduction or for free if indigent.

Q: What information must be included on an application for emergency detention?

A: The application must state: 1) That the applicant has reason to believe and does believe that the person evidences mental illness; 2) That the applicant has reason to believe and does believe that the person evidences a substantial risk of serious harm to himself or others; 3) A specific description of the risk of harm; 4) That the applicant has reason to believe and does believe that the risk of harm is imminent unless the person is immediately restrained; 5) That the applicant's beliefs are derived from specific recent behavior, overt acts, attempts, or threats; 6) A detailed description of the specific behavior, acts, attempts, or threats; and 2 July 2019

7) A detailed description of the applicant's relationship to the person whose detention is sought.

The application may be accompanied by any relevant information. Tex. Health & Safety Code §573.011(b).

Q: How does the magistrate review the application?

A: The magistrate must deny an application unless he or she finds there is reasonable cause to believe that (1) the person evidences mental illness, (2) the person represents a substantial risk of serious harm to himself or others, (3) the risk of harm is imminent unless the person is immediately restrained, and (4) the necessary restraint cannot be accomplished without emergency detention. Tex. Health & Safety Code §573.012(b).

Q: How does the judge determine whether or not there is a substantial risk of serious harm?

A: That the applicant has a substantial risk of serious harm may be demonstrated for purposes of determining reasonable cause for approval of application by the individual’s behavior or evidence of severe emotional distress and deterioration in the person’s mental capacity to the extent that he or she cannot remain at liberty. Tex. Health & Safety Code §573.012(c).

Q: To whom does the magistrate issue the warrant?

A: The warrant is issued to on-duty peace officer for the person’s immediate apprehension when the required criterion are satisfied. Tex. Health & Safety Code §573.012(d).

Q: May a specific officer be designated to execute the warrant?

A: Yes. A magistrate has authority to designate a specific peace officer or law enforcement agency to execute an emergency detention warrant regardless of the location in the county of the subject of the warrant. Peace officer refusing to transport a person to appropriate facility is liable for contempt. Tex. Att’y. Gen. Op. No. KP-206 (2018).

Warrant may be executed by municipal or county peace officers. Tex. Att’y Gen. Op. No. JC-387 (2001).

3 July 2019

Q: Where is the patient taken when the warrant is executed?

A: The warrant is an application for detention at the facility. The person apprehended under the warrant shall be transported to nearest appropriate inpatient mental health facility or a mental health facility deemed appropriate by the local mental health authority if no appropriate inpatient facility is not available. Tex. Health & Safety Code §573.012(e) and (f).

Q: What does the facility retain for its records?

A: A copy of the warrant and application are immediately transferred to the facility. Tex. Health & Safety Code §573.012(f).

Emergency Detention by Guardian Q: What authority does a guardian have to submit a ward to a mental health facility?

A: The guardian of an 18 years of age or older ward may transport the ward to an inpatient mental health facility for preliminary examination without the assistance of a peace officer if the guardian has reason to believe and does believe (1) the ward is a person with mental illness and (2) because of that mental illness, there is a substantial risk of serious harm to the ward or others unless the ward is immediately restrained.

Tex. Health & Safety Code §573.003(a).

Q: What is a “Substantial risk of serious harm”?

A: The substantial risk of serious harm may be demonstrated either by the ward’s behavior or by evidence of severe emotional distress and deterioration in the ward’s mental condition to the extent that the ward cannot remain at liberty. Tex. Health & Safety Code §573.003(b).

Q: What must be contained on the guardian’s application for emergency detention of his or her ward?

A: After transporting the ward to the inpatient mental health facility, the guardian shall immediately file with the facility an application for emergency detention which contains: (1) A statement that the guardian has reason to believe and does believe that the ward evidences mental illness; (2) A statement that the guardian has reason to believe and does believe that the ward evidences a substantial risk of serious harm to the ward or others; 4 July 2019

(3) A specific description of the risk of harm; (4) A statement that the guardian has reason to believe and does believe that the risk of harm is imminent unless the ward is immediately restrained; (5) A statement that the guardian's beliefs are derived from specific recent behavior, overt acts, attempts, or threats that were observed by the guardian; and (6) A detailed description of the specific behavior, acts, attempts, or threats. Tex. Health & Safety Code §573.004.

Q: Must the guardian inform the court of the emergency detention?

A: Yes. The guardian is required to immediately provide written notice of filing an application for emergency detention to the court that granted the guardianship. Tex. Health & Safety Code §573.004(c).

Preliminary Examinations Acceptance at the facility: A mental health facility shall temporarily accept a person for whom: 1) an application for detention has been filed, or 2) a peace officer or emergency medical personnel of an emergency services provider transporting the person in accordance with a memorandum of understanding executed under Tex. Health & Safety Code §573.005 files a notification of detention completed by the peace officer under Tex. Health & Safety Code §573.002(a). Tex. Health & Safety Code §573.021(a).

Q: What is the custody period for a preliminary examination?

A: A person accepted for a preliminary examination may be detained for not longer than 48 hours after the time he or she is presented to the facility or a written order of protective custody is obtained.

The 48 hour period includes time the patient spends at the facility before he or she receives the preliminary examination.

If the 48 hour period ends on a weekend or legal state holiday, the period is extended to 4:00 p.m. on the next regular business day.

5 July 2019

If hazardous weather conditions exist or a disaster occurs, the presiding judge or magistrate may extend the custody period by an additional 24 hours by written order.

Tex. Health & Safety Code §573.021(b).

Q: What is the time period for the initial examination by a physician?

A: The physician shall examine the person as soon as possible within 12 hours after the time the person was apprehended by the peace officer or transported for emergency detention by his or her guardian. Tex. Health & Safety Code §573.021(c).

Q: What happens to the patient after the initial examination?

A: A person shall be released after completion of the preliminary examination unless the person is admitted to a facility for emergency detention under Tex. Health & Safety Code §573.022. Tex. Health & Safety Code §573.023(a).

Patient’s Rights Q: What rights does the detainee patient have?

A: A person apprehended, detained, or transported for emergency detention has the right to: (1) Be advised of the location of detention, the reasons for the detention, and the fact that the detention could result in a longer period of involuntary commitment.

(2) A reasonable opportunity to communicate with and retain an attorney.

(3) Be transported to the location of the person’s apprehension, the location of the person’s Texas residence, or another suitable location if the person is not admitted for emergency detention, unless the person is arrested or objects.

(4) Be released from a facility if the facility administrator determines one of the criteria for admission based on the physician’s preliminary observation prescribed in Tex. Health & Safety Code §573.022(a)(2) no longer applies.

(5) Be advised that communications with a mental health professional may be used in proceedings for further detention.

(6) Be transported in accordance with Tex. Health & Safety Code §§573.026 and 574.045 when detained under an emergency detention order or under Section 574.023 when detained under an order or protective custody.

(7) Be given a reasonable opportunity to communicate with a relative or other responsible party with an interest in the detainee’s welfare. Tex. Health & Safety Code §573.025.

6 July 2019

Q: How must the detainee be apprised of his or her rights?

A: They must be informed orally in simple and non-technical terms within 24 hours after admission to a facility and in writing if possible, or through the use of a means reasonably calculated to communicate with a hearing or visually impaired person, if applicable. Tex. Health & Safety Code §573.025(b). Per Department rule, the detainee is given a handbook to apprise the detainee of their rights and also informed orally as required under the code.

The oral communication is documented on a form signed by the detainee and the staff member who explained the rights. 1 Tex. Admin. Code §404.163 (1993).

Transportation, Release and Admission Q: May a detainee be transported by private conveyance from the mental health facility to a treatment facility?

A: No. A person may not be transported to treatment facility such as the Austin State Hospital by private conveyance arranged for by the mental health facility that conducted the preliminary examination of the person. Tex. Att’y Gen. Op. No. GA-909 (2012).

Q: Release after initial examination: A: A person shall be released after completion of the preliminary examination unless the person is admitted to a facility for emergency detention under Tex. Health & Safety Code §573.022. Tex. Health & Safety Code §573.023(a).

Q: How may a person be admitted to a facility for emergency detention?

A: A person may be admitted to a facility for emergency detention only if the physician who conducted the preliminary examination makes a written statement that: 1) Is acceptable to the facility; 2) States after the preliminary examination that it is the physician’s opinion that: a. the person is a person with mental illness; b. the person evidences a substantial risk of serious harm to him or herself or to others; c. the described risk of harm is imminent unless the person is immediately restrained; and d. emergency detention is the least restrictive means to accomplish the necessary restraint. Tex. Health & Safety Code §573.022(a).

7 July 2019

Q: What must be contained in the physician’s written statement to the facility?

A: The written statement must include a description of the nature of the mental illness, a specific description of the risk of harm evidenced by the person’s behavior or evidence of severe emotional distress and deterioration in the person’s mental condition to the extent that the person cannot remain at liberty, and the specific detailed information from which the physician formed his or her opinion. Tex. Health & Safety Code §573.022(a).

Q: May a person admitted for emergency detention be transported to the mental health care facility?

A: A facility that has admitted a person for emergency detention may transport that person to a mental health care facility deemed suitable by the local mental health authority for the area. On request of the local mental health authority, the judge may order the proposed patient be detained in a department mental facility. Tex. Health & Safety Code §573.022(b).

Q: May a person admitted for emergency detention be transported from a facility to a mental hospital?

A: A facility that has admitted a person for emergency detention or to which a person has been transported may transfer the person to an appropriate mental hospital with the written consent of the hospital administrator. Tex. Health & Safety Code §573.022(c).

Q: When may a person be released if the administrator determines they no longer meet the criteria for detention?

A: Immediately. A person admitted to a facility shall be released if the facility administrator determines at any time during the emergency detention period that one of the criteria prescribed by Tex. Health & Safety Code §573.022(a)(2) no longer applies. Tex. Health & Safety Code §573.023(b).

Q: Where is a released detainee transported from the treatment facility?

A: Except for a person who is arrested or objects to the transportation, if a person is entitled to release either from the preliminary examination or from emergency detention, arrangements shall be made to transport the person to: 1) The location where the person was apprehended; 2) The person’s Texas residence; or 3) Another suitable location. Tex. Health & Safety Code §573.024(a) and (b).

8 July 2019

Q: Who is responsible for the costs of transportation?

A: The county in which the person was originally apprehended is responsible for the costs of transportation. Tex. Health & Safety Code §573.024.

Q: Who may transport patients to the designated mental health facility?

A: The court may authorize the transportation of a patient detained under Tex. Health & Safety Code §§573.022 or 574.023 to the designated mental health facility in the following order of priority: 1) A special officer for mental health assignment certified under Section 1701.404, Occupations Code; 2) The facility administrator of the designated mental health facility, unless the administrator notifies the court that facility personnel are not available to transport the patient; 3) A representative of the local mental health authority, who shall be reimbursed by the county, unless the representative notifies the court that local mental health authority personnel are not qualified to ensure the safety of the patient during transport; 4) A qualified transportation service provider selected from the list established and maintained as required by Tex. Health & Safety Code §574.0455 by the commissioners court of the county in which the court authorizing the transportation is located; 5) The sheriff or constable; or 6) A relative or other responsible person who has a proper interest in the patient's welfare and who receives no remuneration, except for actual and necessary expenses. Tex. Health & Safety Code §574.045.

Q: What is the list of qualified transportation service providers?

A: The commissioners court may: 1) Establish and maintain a list of qualified transportation service providers with whom people may contract to transport people to mental health facilities; 2) Establish an application procedure for persons to be included on the list, including an application fee that is deposited in the county general fund; 3) Contract with qualified service providers on terms acceptable to the county; and 9 July 2019

4) Allow county officers and employees to utilize person on the list on a rotating basis if the officer/employee is authorized to provide transportation to committed patients or emergency detainees under Tex. Health & Safety Code §574.045 and chooses to use a qualified service provider subject to the terms of the contract approved by the commissioners court.

The commissioners court must make sure that the list of providers is available to any person authorized to provide transportation to committed patients or emergency detainees under Tex. Health & Safety Code §574.045. Tex. Health & Safety Code §574.0455.

Writs of Commitment The court shall direct the court clerk to issue two writs of commitment to the person authorized to transport the patient. The writs shall require the person to take custody of the patient and transport the patient to the designated mental health facility. Tex. Health & Safety Code §574.046.

Q: How does the facility administrator acknowledge the patient’s arrival?

A: After the facility administrator receives the writ of commitment and admits the patient, the administrator must give the transporter a written statement acknowledging receipt of the patient and any included personal property belonging to the patient and file a copy of the statement with the clerk of the committing court. Tex. Health & Safety Code §574.048.

Transcript The court clerk shall prepare a certified transcript of the proceedings in the hearing on court-ordered mental health services and send the transcript, along with any available information relating to the medical, social, and economic status and history of the patient and the patient’s family, with the patient’s transporter. The transporter shall deliver that material to the facility personnel in charge of admissions. Tex. Health & Safety Code §574.047.

10 July 2019

INTERACTION WITH LAW ENFORCEMENT Emergency Apprehension and/or Detention of a Person with Mental Illness by a Peace Officer under Chapter 573 of the Texas Health and Safety Code Q: What can a law enforcement officer do if they believe a person is suffering a mental health crises?

A: Every law enforcement agency must make a good faith effort to divert a person (1) suffering a mental health crisis or (2) suffering from the effects of substance abuse to a proper treatment center in the agency’s jurisdiction. The provision applies if: 1) A treatment center is available; 2) Diversion is reasonable; 3) The offense the person is accused of is a non-violent misdemeanor; and 4) The mental health or substance abuse issue is suspected to be the reason for the offense. *Note that this section does not apply to a person who is accused of an offense under Sections 49.04, 49.045, 49.05, 49.06, 49.065, 49.07 or 49.08 of the Texas Penal Code (intoxication offenses). Tex. Code Crim. Pro. Art 16.23 (a) and (b).

Q: Can a law enforcement officer apprehend a person he believes to be at risk without a warrant?

A: A peace officer without a warrant can take a person into custody if the officer has reason to believe and does believe that: 1) The person is a person with a mental illness; 2) Because of that mental illness there is substantial risk of serious harm to the person or to others unless the person is immediately restrained; and 3) Believes that there is not sufficient time to obtain a warrant before taking the person into custody. Tex. Health & Safety Code §573.001(a).

Q: How is a substantial risk of serious harm demonstrated?

A: The officer may demonstrate a substantial risk of serious harm by: 1) The person’s behavior; or 1 July 2019

2) Evidence of severe emotional distress and deterioration in the person’s mental condition to the extent that the person cannot remain at liberty. Tex. Health & Safety Code §573.001(b).

Q: What may be used to support officer’s belief that a person meets the criteria for apprehension?

A: The officer’s belief may be based upon: 1) The representation of a credible person; 2) The person’s conduct; or 3) The circumstances under which the person is found. Tex. Health & Safety Code §573.001(c).

Q: Where should an officer take the person apprehended under Section 573.001(a)?

A: An officer who takes protective custody over a person believed to have a mental illness must take the individual to: 1) The nearest appropriate inpatient mental health facility; or 2) Another mental health facility deemed suitable by the local mental health authority, if an appropriate inpatient mental health facility is not available; or 3) Transfer the person to EMS personnel of an emergency medical services provider in accordance with a memorandum of understanding executed under Health & Safety Code §573.005 for transportation to such a facility. Tex. Health & Safety Code §573.001(d).

Q: What must be included in a memorandum of understanding regarding transportation for emergency detention by an emergency medical services provider?

A: A law enforcement agency and an EMS provider may execute a memorandum of understanding (MOU) under which EMS personnel employed by the provider may transport a person taken into custody under an emergency detention by a peace officer employed by the law enforcement agency. The MOU must: 1) Address responsibility for the cost of transporting the person taken into custody; and 2) Be approved by the county in which the law enforcement agency is located and the Local Mental Health Authority that provides services in that county to address 2 July 2019

the responsibility for the cost of transporting the person. Tex. Health & Safety Code Section 573.005(b).

Q: Can a person with a mental illness under protective custody under Section 573.001(a) be taken to a jail?

A: A jail or similar detention facility must not be used except in an “extreme emergency” and if the person in protective custody is housed there, the person must be kept separate from other inmates. Tex. Health & Safety Code §573.001(e) and (f).

Q: What notice must an officer provide to a person in custody under Section 573.001(a)?

A: The officer must immediately inform the person orally in simple nontechnical terms of: 1) The reason for the detention; and 2) That a staff member of the facility will inform the person of their rights within 24 hours. Tex. Health & Safety Code §573.001(g)(1), (2).

Q: May an officer seize firearms of a person taken into protective custody under Section 573.001?

A: The officer may immediately seize any firearms in the possession of the person taken into custody. Tex. Health & Safety Code §573.001(h).

Q: What must be included in the officer’s notification of detention to the facility?

A: The officer who transports a person in protective custody to a facility shall immediately file a notification of detention with the facility on the statutorily required form. 1 If EMS transports the person to the facility, then they shall immediately file with the facility the notification of detention completed by the peace officer who made the request for transport.

1

See Exhibit 3 for a sample of the Notification of Emergency Detention Form.

3 July 2019

The notification of detention must contain: 1) A statement that the officer has reason to believe and does believe that the person evidences mental illness; 2) A statement that the officer has reason to believe and does believe that the person evidences a substantial risk of serious harm to the person or others; 3) A specific description of the risk of harm; 4) A statement that the officer has reason to believe and does believe that the risk of harm is imminent unless the person is immediately restrained; 5) A statement that the officer’s beliefs are derived from specific recent behavior, overt acts, attempts, or threats that were observed by or reliably reported to the officer; 6) A detailed description of the specific behavior, acts, attempts, or threats; and 7) The name and relationship to the apprehended person of any person who reported or observed the behavior, acts, attempts, or threats.

A mental health facility or hospital emergency department may not require a peace officer or EMS personnel to execute any other form as a predicate to accepting the person.

Tex. Health & Safety Code §573.002(a),(b),(c), (d) and (e).

Q: Must a facility accept a person transported under Section 573.002?

A: A facility shall temporarily accept a person for whom: 1) An application for detention is filed, or 2) An officer or EMS personnel under an MOU provides a notification of detention completed by the peace officer under Health & Safety Code §573.002(a). Tex. Health & Safety Code §573.021(a).

However, a person may not be detained in a private mental health facility without the consent of the facility administrator. Tex. Health & Safety Code §573.021(e).

The facility must comply with this section only to the extent that the commissioner of state health services determines that a facility has sufficient resources to perform the necessary services under this section. Tex. Health & Safety Code §573.021(d), and §571.002(2).

4 July 2019

Q: By when must a physician perform a preliminary examination of a person transported under Section 573.002 (a)?

A: The person must be examined as soon as possible by a physician within 12 hours after the time the person is apprehended by the peace officer or transported for emergency detention by the person’s guardian.

For purposes of this examination “physician” means: 1) A person licensed to practice medicine in this state; 2) A person employed by a federal agency who has a license to practice medicine in any state; or 3) A person authorized to perform medical acts under a physician-in-training permit at a Texas postgraduate training program. Tex. Health & Safety Code §573.021(c), and §573.001(18).

Q: How long can a person accepted for a preliminary examination be detained?

A: The facility may not keep the person in custody for more than 48 hours unless an order for protective custody is obtained.

The 48 hour window includes any time the person spends waiting for medical care before the preliminary examination.

The presiding judge or magistrate or magistrate may by written order extend this time by 24 hours on account of extremely hazardous weather or disaster. Tex. Health & Safety Code §573.021(b).

Q: What findings are required to secure emergency admission and detention?

A: For the person to be admitted to the facility for an emergency detention, the physician conducting the preliminary examination must make a written statement acceptable to the facility establishing his opinion that: 1) The person is a person with a mental illness; 2) That the person evidences a substantial risk of serious harm to the person or others; 3) The described risk of harm is imminent unless the person is immediately restrained; and 5 July 2019

4) That emergency detention is the least restrictive means by which the necessary restraint can be accomplished.

The statement must also include: 1) A description of the nature of the person’s mental illness; 2) A specific description of the risk of harm the person evidences that may be demonstrated either by a person’s behavior or by evidence of severe emotional distress and deterioration in the person’s mental condition to the extent that the person cannot remain at liberty; and 3) Specific detailed information from which the physician formed the opinions.

Tex. Health & Safety Code §573.022.

Q: When will a person apprehended under Section 573.001 be released from emergency detention?

A: person apprehended by a peace officer or transported for emergency detention shall be released on completion of the preliminary examination unless the person is admitted to a facility under Section 573.022.

A person admitted to a facility under Section 573.022 shall be released if the facility administrator determines at any time during the emergency detention period that one of the criteria prescribed by Section 573.022 (a)(2) no longer applies. Tex. Health & Safety Code §573.023.

Emergency Apprehension: Applications and Warrants by Persons Other than Law Enforcement or Guardians Q: Can a person other than law enforcement seek an emergency detention?

A: In addition to the scenarios outlined in Health & Safety Code Sections 573.001-573.003, any adult may file an application for an emergency apprehension. Such application must be presented in person to the judge or magistrate. Tex. Health & Safety Code §§573.011, 573.012(a) and (h).

Q: What must this application state?

A: This application must state:

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1) That the applicant has reason to believe and does believe that the person evidences mental illness; 2) That the applicant has reason to believe and does believe that the person evidences a substantial risk of serious harm to himself or others; 3) A specific description of the risk of harm; 4) That the applicant has reason to believe and does believe that the risk of harm is imminent unless the person is immediately restrained; 5) That the applicant’s believes are derived from specific recent behavior, overt acts, attempts, or threats; 6) A detailed description of the behavior, acts, attempts, or threats, and 7) A detailed description of the applicant’s relationship to the person whose detention is sought. Tex. Health & Safety Code §573.011(b).

Q: What must a judge or magistrate do before issuing an emergency detention warrant requested by a private applicant?

A: Before issuing the application: 1) The magistrate must review the application and 2) May interview the applicant.

The magistrate shall deny the application unless the magistrate finds that there is reasonable cause to believe that: 1) 2) 3) 4)

The person evidences mental illness; The person evidences a substantial risk of serious harm to himself or others; The risk of harm is imminent unless the person is immediately restrained; and The necessary restraint cannot be accomplished without emergency detention.

Tex. Health & Safety Code §573.012(b).

Q: How can a private applicant for emergency detention establish a substantial risk of harm?

A: A substantial risk of serious harm to the person or others may be demonstrated by: 1) The person’s behavior; or 2) Evidence of severe emotional distress and deterioration in the person’s mental condition to the extent that the person’s mental condition to the extent that the person cannot remain at liberty. Tex. Health & Safety Code §573.012(c).

7 July 2019

Q: How is the magistrate’s determination enforced?

A: If the magistrate determines that each criterion for emergency detention is satisfied by the application, he shall issue a warrant 2 for the person’s immediate apprehension to an on-duty peace officer. Tex. Health & Safety Code §573.012(d).

Q: Where does the peace officer take the person under the detention warrant?

A: A person apprehended under such a warrant shall be transported for a preliminary examination to: 1) The nearest appropriate inpatient mental health facility; or 2) A mental health facility deemed suitable by the local mental health authority, if an appropriate inpatient mental health facility is not available.

The warrant serves as an application for the detention in the facility.

The warrant and a copy of the application for the warrant must be immediately transmitted to the facility. Tex. Health & Safety Code §573.012(e) and (f).

Article 16.22 Assessments Q: What is an article 16.22 assessment?

A: Art. 16.22 of the Code of Criminal Procedure provides a procedure for identifying a person’s possible mental illness at the earliest stages and throughout a criminal proceeding. This protocol provides generally that: Not later than 12 hours after a sheriff or municipal jailer receive credible information that may establish reasonable cause to believe that a defendant charged with a Class B misdemeanor or higher category of offense has a mental illness or intellectual disability, the sheriff or municipal jailer must provide a written or electronic notice to the magistrate. Tex. Code Crim.

Pro. Art. 16.22(a)(1).

2

See Exhibit 2 for a sample of the Magistrate’s Order and Warrant for Emergency Apprehension and Detention form.

8 July 2019

Q: What information does the 16.22 notice include?

A: The notice 3 must include any information related to the sheriff’s or jailer’s determination, such as: 1) Information regarding the defendant’s behavior immediately before, during and after the defendant’s arrest; and 2) If applicable, the results of any previous assessment of the defendant. Tex. Code of Crim. Pro. Art. 15.22(a)(1).

Q: What can the magistrate do with the assessment?

A: If the magistrate determines that there is reasonable cause to believe that the defendant has a mental illness or intellectual disability, then the magistrate must order 4 the local mental health authority or another qualified mental health or intellectual disability expert, to collect information and provide an assessment to the magistrate.

What must the expert do under the magistrate’s order: 1) Collect information regarding whether the defendant has a mental illness as defined by Section 571.003, including any information obtained from any previous assessment of the defendant and previously recommended treatment; and 2) Provide to the magistrate a written assessment of the information collected on the form 5 approved under Section 614.0032(b) of the Health and Safety Code.

The magistrate is not required to order the collection of information if the defendant has been determined to have a mental illness by a local mental health authority in the year proceeding the applicable date of arrest and the court elects to use that information.

If the defendant fails or refuses to submit to the collection of information regarding the defendant, the magistrate may order the defendant to submit to an examination in a jail or in another place determined to be appropriate by the local mental authority for a reasonable period not to exceed 72 hours. Tex. Code Crim. Pro. Art. 16.22(a)(1), (2) and (3).

See Exhibit 4 for a sample Art. 16.22(a) Inmate Mental Condition Report to Magistrate form.

See Exhibit 5 for a sample Order Requiring Defendant to Submit to Article 16.22 Assessment.

5 See Exhibit 6 for a sample of the Collection of Information Form for Mental Illness and Intellectual Disability.

3 4

9 July 2019

Q: By when must a magistrate receive the assessment?

A: Except as permitted by the magistrate for good cause, the written assessment shall be provided to the magistrate: 1) Not later than 96 hours after an order was issued ordering the assessment if the defendant is held in custody; or 2) Not later than the 30th day after the order was issued for a defendant released from custody. Tex. Code of Crim. Pro. Art. 16.22(b).

Q: What must the written assessment include?

A: The written assessment must include the expert’s observations and findings and a description of the methods used to support the expert’s observations and findings pertaining to: 1) Whether the defendant has a mental illness or intellectual disability; 2) Whether there is clinical evidence to support a finding that the defendant may be incompetent to stand trial; and 3) Any appropriate or recommended treatment or service. Tex. Code of Crim.

Pro. Art. 16.22(b-1).

Q: To whom is the written assessment provided?

A: The magistrate provides copies of the written assessment to the defense counsel, the prosecution and the trial court. Tex. Code of Crim. Pro. Art. 16.22(b-1).

Q: How may the trial court use this assessment?

A: The trial court may use the information from the assessment in a number of ways including: 1) 2) 3) 4) 5)

Resuming criminal proceedings; Resuming or initiating competency proceedings; In connection with the punishment phase after conviction; Referring the defendant to an appropriate specialty court; The trial court may also consider releasing the person with a mental illness or intellectual disability from custody on personal or surety bond, including a condition that the defendant submit to an examination or other assessment. Tex. Code of Crim. Pro. Art. 16.22(c) and (d).

10 July 2019

MAGISTRATE’S ROLE IN ASSESSING DEFENDANT MENTAL HEALTH (SANDRA BLAND ACT) Q: When do the mental health magistration procedures in the Sandra Bland Act apply?

A: A magistrate has additional duties under Code of Criminal Procedure 16.22 and 17.032 if the magistrate receives credible information that may establish reasonable cause to believe that the defendant has a mental illness or intellectual disability.

Q: From what sources does a magistrate receive credible information concerning the defendant’s mental illness or intellectual disability?

A: The credible information may come from a sheriff or jailer having custody of the defendant or from another source, including the magistrate’s interaction with the defendant.

If a sheriff or jailer having custody of a defendant for an offense punishable as a Class B or above has credible information that may establish reasonable cause to believe that the defendant has a mental illness or is a person with an intellectual disability, then the sheriff or jailer must provide written or electronic notice of the existence of that information to the magistrate.

Q: If the source of the “credible information that may establish reasonable cause to believe that the defendant has a mental illness or intellectual disability” is written or electronic notice from the sheriff or jailer, what must that notice include?

A: The notice 1 must include any information related to the sheriff's or jailer's determination, such as information regarding the defendant's behavior immediately before, during, and after the defendant's arrest and, if applicable, the results of any previous mental health assessment of the defendant.

Q: If the magistrate receives credible information that may establish reasonable cause to believe that the defendant has a mental illness or intellectual disability, what must the magistrate do?

A: First, the magistrate must determine whether there is reasonable cause to believe that the defendant has a mental illness or intellectual disability.

If the magistrate determines there is no reasonable cause to believe a defendant has a mental illness or an intellectual disability, then the magistrate is not required to order an assessment.

1

See Exhibit 4 for a sample of the Inmate Mental Condition Report to Magistrate.

1 July 2019

If the magistrate determines there is reasonable cause to believe that the defendant has a mental illness or intellectual disability, then the magistrate should next determine whether the defendant, in the year preceding the date of arrest for which the defendant is now being magistrated, has been determined to have a mental illness or intellectual disability by any of the following experts: (1) The service provider that contracts with the jail to provide mental health or intellectual and developmental disability services; (2) The local mental health authority; (3) The local intellectual and developmental disability authority; or (4) Another qualified mental health or intellectual and developmental disability expert.

If the defendant has not been determined in the past year to have a mental illness or intellectual disability by any of those experts, then the magistrate shall order one of those experts to (a) interview and collect information from the defendant, and (b) provide the magistrate a written report on the interview on a form approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments 2.

If the defendant has been determined in the past year to have a mental illness or intellectual disability by any of those experts, then the magistrate and trial court may use the results of that previous assessment for the remaining procedures in Tex. Code Crim.

Proc. art. 16.22 or 17.032. Tex. Code Crim. Proc. art. 16.22(a)(2).

Q: What happens if the defendant fails or refuses to submit to the interview and collection of information?

A: The magistrate may then order the defendant to submit to an examination in a jail, or in another place determined to be appropriate by the local mental health authority or local intellectual and developmental disability authority, for a reasonable period not to exceed 21 days. Tex. Code Crim. Pro. art. 16.22(a)(3).

MENTAL HEALTH ASSESSMENT REPORTS Q: When is the mental health assessment report due to the magistrate?

A: If the defendant is held in custody, the report must be provided to the magistrate not later than 96 hours after the time the examination order was issued. If the defendant has been released from custody, the report must be provided to the magistrate not later than

2

See Exhibit 6 for a sample of the Collection of Information Form.

2 July 2019

the 30th day after the date the examination order was issued. Tex. Code Crim. Pro. art.

16.22(b)(1-2) Q: Who is entitled to the mental health assessment report and who provides the report to the parties entitled to receive it?

A: The magistrate shall provide copies of the written mental health assessment report to defense counsel, the attorney representing the state, and the trial court. Tex. Code Crim.

Pro. art. 16.22(b-1).

Q: What must the mental health assessment report contain?

A: The mental health assessment report 3 must include a description of the procedures used in the collection of the information in the report and the expert's observations and findings pertaining to: (1) whether the defendant is a person who has a mental illness or intellectual disability; (2) whether there is clinical evidence to support a belief that the defendant may be incompetent to stand trial and should undergo a complete competency examination under Code of Criminal Procedure Chapter 46B, Subchapter B; and (3) any appropriate or recommended treatment or service. Tex. Code Crim. Pro. art. 16.22(b-1)(1-3).

Q: What may the mental health assessment report be used for?

A: The magistrate or trial court may use the mental health assessment for various purposes, including: -

releasing the defendant on a mental health personal bond (Tex. Code Crim. Pro. 17.032); resuming criminal proceedings; resuming or initiating competency proceedings; consideration during the punishment phase after conviction, or referring the defendant to a specialty court. Tex. Code Crim. Pro. art. 16.22(c).

Q: Who is responsible for reporting information about mental health assessment reports?

A: The magistrate, the trial court, and the district clerk or county clerk.

3 Please note that this report is not the same report or form as the Screening Form for Suicide and Medical/Mental/Developmental Impairments promulgated by Texas Commission on Jail Standards

3 July 2019

-

-

-

The magistrate is required to provide copies of the mental health assessment report to the defense counsel, the attorney representing the state, and the trial court (district or county court).

The magistrate should also send the assessment report to the custodian of the district or county court records—the district clerk or county clerk—for inclusion in the defendant’s case file.

The number of written assessments will be captured from district and county courts on Judicial Council Monthly District and County Court Activity Reports, submitted by district clerks and county clerks.

MENTAL HEALTH PERSONAL BONDS

Q: When is a mental health personal bond required?

A: A magistrate shall release a defendant on a personal bond if the following five conditions apply: (1) The defendant is not charged with and has not been previously convicted of a violent offense (as defined in Tex. Code Crim. Pro. art. 17.032(a)); (2) The defendant has been examined for a mental health assessment report under Article 16.22; (3) The mental health assessment report (a) concludes that the defendant has a mental illness or intellectual disability and is nonetheless competent to stand trial; and (b) recommends mental health treatment or intellectual and developmental disability services for the defendant, as applicable; (4) The magistrate determines, in consultation with the local mental health authority or local intellectual and developmental disability authority, that appropriate community-based mental health or intellectual and developmental disability services for the defendant are available in accordance with Section 534.053 or 534.103, Health and Safety Code, or through another mental health or intellectual and developmental disability services provider; and (5) The magistrate finds, after considering all the circumstances, a pretrial risk assessment, if applicable, and any other credible information provided by the attorney representing the state or the defendant, that release on personal bond would reasonably ensure the defendant's appearance in court as required and the safety of the community and the victim of the alleged offense. Tex. Code Crim.

Pro. art. 17.032(b).

4 July 2019

Q: Must a magistrate impose certain conditions on a mental health personal bond?

A: Unless good cause is shown for not requiring treatment or services, the magistrate shall require as a condition of release on a mental health personal bond that the defendant submit to outpatient or inpatient mental health treatment or intellectual and developmental disability services as recommended by the service provider that contracts with the jail to provide mental health or intellectual and developmental disability services, the local mental health authority, the local intellectual and developmental disability authority, or another qualified mental health or intellectual and developmental disability expert if the defendant's: (1) mental illness or intellectual disability is chronic in nature; or (2) ability to function independently will continue to deteriorate if the defendant does not receive the recommended treatment or services. Tex. Code Crim. Pro. art.

17.032(c).

Q: May a magistrate impose other conditions on a mental health personal bond?

A: Yes. The magistrate may require the defendant to comply with other conditions that are reasonably necessary to ensure the defendant's appearance in court as required and the safety of the community and the victim of the alleged offense. Tex. Code Crim. Pro. art. 17.032(d).

5 July 2019

Guardianship Proceedings: Title 3 Texas Estates Code Guardianship Background Q: What is a guardianship?

A: A guardianship is a relationship established by a court of law between a person who is determined to be incapacitated (an “incapacitated person” provided a guardian is called a ward) and the person or entity named by the court to help the ward, (called a guardian). A court may appoint a guardian with either full or limited authority over an incapacitated person’s actual mental or physical limitations and only as necessary to promote and protect the well-being of the incapacitated person. Tex. Estates Code §§1001.001(a) and (b), 1002.012, and 1002.030.

In creating a guardianship that gives a guardian limited authority over an incapacitated person, the court shall design the guardianship to encourage the development or maintenance of maximum self-reliance and independence in the incapacitated person, including by presuming that the incapacitated person retains the capacity to make decisions regarding the person’s residence. Tex. Estates Code §1001.001(b).

Q: Who is an incapacitated person?

A: An “incapacitated person” is: 1) A minor 1; 2) An adult individual who, because of a physical or mental condition, is substantially unable to provide food, clothing, or shelter for himself or herself, to care for the individuals own physical health, or to manage the individual’s own financial affairs; 3) A person who must have a guardian appointed to receive funds due the person from any governmental source. Tex. Estates Code §1001.001(b), 1002.017(1), (2) and (3).

Q: What is a guardianship proceeding?

A: Guardianship proceeding means a matter or proceeding related to a guardianship for an incapacitated person or any other matter covered by this title. Tex. Estates Code §1002.15.

1

Please note the focus of this overview concerns creation of a guardianship for an adult.

1 July 2019

Initiating Guardianship Proceedings Q: Where is the application for guardianship filed?

A: The application for the appointment of a guardian is filed in a court having jurisdiction and venue. (Probate court, county court at law exercising original probate jurisdiction or county court if there is no probate court or county court at law exercising original probate jurisdiction.) Tex. Estates Code §1101.001.

Q: In what court, or courts is Jurisdiction proper for a guardianship proceeding?

A: All guardianship proceedings for an incapacitated person must be filed and heard in a court exercising original probate jurisdiction. The court exercising original probate jurisdiction also has jurisdiction of all proceedings related to the guardianship proceeding as specified in Section 1021.001 of the Texas Estates Code for that type of court. A probate court may exercise pendant and ancillary jurisdiction as necessary to promote judicial efficiency and economy. Tex. Estates Code §1022.001(a) and (b).

In a county in which there is a statutory probate court, that court has original jurisdiction of guardianship proceedings. In a county in which there is no statutory probate court, but in which there is a county court at law exercising original probate jurisdiction, the county court at law exercising original probate jurisdiction and the county court have concurrent original jurisdiction of guardianship proceedings unless otherwise provided by law. In a county with no statutory probate court or no county court at law exercising original probate jurisdiction, the county court has original jurisdiction of guardianship proceedings. Tex. Estates Code §1022.022(a), (b) and (c).

In a county in which there is a statutory probate court, the statutory probate court has exclusive jurisdiction of all guardianship proceedings, regardless of whether contested or uncontested. Tex. Estates Code §1022.005(a).

In a county in which there is no statutory probate court, or county court at law exercising original probate jurisdiction and a matter is contested, the judge may on its own motion (or must if moved by a party) request assignment of a statutory probate judge to hear a contested matter, or transfer the contested matter to the district court. If a party moves for assignment of a statutory probate judge, before the judge of the county court transfers the contested matter to a district court under this section, the court must grant the motion 2 July 2019

for assignment of the statutory probate judge. If a statutory probate judge is assigned the judge or a party may request the statutory probate judge be assigned to the entire proceeding. Tex. Estates Code §1022.003(a), (b), (c), (d), (e), (f), (g), (h), (i) and (j).

In a county in which there is no statutory probate court, but in which there is a county court at law exercising original probate jurisdiction, when a contested matter arises, the judge or a party may request transfer of the contested matter to the county court at law.

In addition, the judge of the county court, on its own, or the motion of a party, may transfer the entire proceeding to the county court at law. Tex. Estates Code §1022.004(a).

Q: What is the proper venue for a guardianship proceeding involving an adult ward?

A: In general, venue for the appointment of a guardian lies in the county where the proposed ward resides, where he or she is located on the date the application is filed; or where the principal estate of the ward is located. If more than one county has venue, the county in which the application was first filed retains venue and jurisdiction. A guardian or any other interested person who wants to transfer venue must file a written application in the court in which the guardianship is pending stating the reasons for the request. Tex. Estates Code §§1022.007, 1023.001(a), .002, .003.

Initiation of Application for Appointment of Guardian Q: How does an individual make an Application for Appointment of a Guardian for an adult ward 2?

A: Any person may apply to commence a proceeding for the appointment of a guardian by filing a written application in a court having jurisdiction and venue. Tex. Estates Code §1101.001(a).

The application 3 for the appointment of a guardian must contain the information in Section 1101.001(b) and be sworn to by the applicant. The required information in the application include, but are not limited to the following: 1) The proposed ward’s name, sex, date of birth, and address; 2) Whether guardianship of the person or estate is sought;

2 3

If the proposed ward is a minor, there are additional requirements.

See Exhibit 8 for a sample of an Application for Appointment of a Permanent Guardian.

3 July 2019

3) The name, relationship, and address of the person the applicant seeks to have appointed as guardian; 4) Whether the application seeks guardianship of the person or estate, or both; 5) The nature and degree of the alleged incapacity, the specific areas of protection and assistance requested, and the limitation or termination of rights to be included in the court’s order of appointment, including: a. The right of the proposed ward who is 18 years of age or older to vote in a public election; b. The proposed ward’s eligibility to hold or obtain a license to operate a motor vehicle under Chapter 521, Transportation Code; and c. The right of a proposed ward to make personal decisions regarding residence; 6) The facts requiring the appointment of a guardian; 7) The interest of the applicant in the appointment of a guardian; 8) The nature and description of any kind of guardianship existing for the proposed ward in any other state; 9) The name and address of any person or institution having the care and custody of the proposed ward; 10) The approximate value and description of the proposed ward’s property, including any compensation, pension, insurance, or allowance to which the proposed ward may be entitled; 11) The name and address of any person whom the applicant knows to hold a power of attorney signed by the proposed ward and a description of the type of power of attorney; 12) For a proposed ward, who is an adult, if known, the applicant should provide: a. The name of the ward’s spouse, if any, and either the spouse’s address or that the spouse is deceased; b. The name of the proposed ward’s parents and either the address, or that the parent is deceased; c. The name and age of any of the ward’s siblings, if any, and either their address or that the sibling is deceased; d. The name and age of the proposed ward’s children, if any, and either the child’s address or that the child is deceased; and e. If there is no living spouse, parent, adult sibling, or adult child of the proposed ward, the names and addresses of the proposed ward’s other living relatives within the 3rd degree of consanguinity. Those are: grandparent or grandchild, great-grandparent, great-grandchild, aunt or 4 July 2019

uncle who is sibling of a parent of the proposed ward, niece or nephew of who is a child of a brother or sister of the proposed ward. Estates Code §1101.001(a) and (b).

Q: What must be included in the citation for Guardianship Proceedings?

A: On the filing of an application for guardianship, the court clerk shall issue a citation stating: 1) 2) 3) 4)

The application has been filed; The name of the proposed ward; The name of the applicant; and The name of the person to be appointed guardian as provided in the application, if that person is not the applicant; 5) The citation must cite all persons interested in the welfare of the proposed ward to appear at the time and place stated in the notice if the persons wish to contest the application; 6) The citation shall be posted; 7) The citation must also contain a "clear and conspicuous statement" regarding the rights provided under Section 1051.252 of the estates code which includes the right of persons interested in the estate or welfare of a ward or incapacitated person to be notified of motions, applications or pleadings related to the application or any subsequent guardianship proceedings. Tex. Estates Code §1051.102.

Q: Who receives citation giving notice of an application for guardianship?

A: After the application is filed, the sheriff or other officer shall personally serve citation to appear and answer an application for guardianship on: 1) Proposed ward who is 12 years of age or older; 2) The proposed ward’s parents, if the whereabouts of the parents are known or can be reasonably ascertained; 3) Any court-appointed conservator or person having control of the care and welfare of the proposed ward; 4) The proposed ward’s spouse, if the whereabouts of the spouse are known or can be reasonably ascertained; and 5) The person named in the application to be appointed guardian, if that person is not the applicant; 6) The citation must also contain the statement regarding the right under Section 1051.252 that is required in the citation issued under Section 1051.102. Tex. Estates Code §1051.103.

5 July 2019

Q: Must the Applicant also Provide Notice?

A: The guardianship applicant, not the clerk is responsible for mailing a copy of the application and notice containing the information required in the citation issued under Section 1051.102 by registered or certified mail, return receipt requested, or by any other form of mail that provides proof of delivery, to the following persons, if their whereabouts are known or can be reasonably ascertained: 1) Each adult child of the proposed ward; 2) Each adult sibling of the proposed ward; 3) The administrator of a nursing home facility or similar facility in which the proposed ward resides; 4) The operator of a residential facility or similar facility in which the proposed ward resides; 5) A person whom the applicant knows to hold a power of attorney signed by the proposed ward; 6) A person previously designated to serve as a guardian of the proposed ward by a written declaration; 7) A person designated to serve as a guardian of the proposed ward by a probated will or written declaration of the proposed ward’s last surviving parent and; 8) Each person named as another relative within the third degree by consanguinity in the application as required by 1101.001(b)(11) or (13) if the proposed ward has no living spouse, parent, adult sibling, or adult child; 9) The applicant shall file with the court a copy of the notice, proofs of delivery of the notice and a sworn affidavit by the applicant that the notice was mailed as required by subsection (a) and the name of each person to whom notice was mailed if not shown on the proof of delivery. Tex. Estates Code §1051.104(a) and (b).

Q: When may the court act on application for guardianship?

A: The court may not act on an application for the creation of a guardianship until the applicant has complied with Section 105.104(b) and not earlier than the Monday following the expiration of the 10-day period beginning on the date of service of notice of citation has been made as provided in Sections 1051.102, .103 and .104(a)(1). Tex. Estates Code §1051.106

6 July 2019

Trial and Hearing Matters Q: Who has standing to Commence or Contest Proceeding for appointment of a guardian?

A: Any person has the right to commence a guardianship proceeding, including a proceeding for complete restoration or modification of a ward’s capacity. Furthermore, any person has the right to appear and contest creation of a guardianship or appointment of a specific guardian. A person who has an interest adverse to a proposed ward or incapacitated person may not file an application for guardianship or contest its creation.

Tex. Estates Code §1055.001.

Q: What procedures apply at hearings?

A: Guardianship hearings are subject to the Texas Rules of Civil Procedure and the Texas Rules of Evidence, to the extent possible. Additionally, hearings should be conducted on the record (i.e. in front of a court reporter) in order to preserve the wards’ right to appeal any decision. Tex. Estates Code §1055.101.

Q: What happens at the hearing for the appointment of a Guardian?

A: At the hearing for the appointment of a guardian, the court shall inquire into the ability of any allegedly incapacitated adult to: 1) 2) 3) 4)

Feed, clothe, and shelter himself or herself; Care for his or her own physical health; Manage his or her property or financial affairs; Inquire into the qualifications, abilities, and capabilities of the person seeking to be appointed guardian. Tex. Estates Code §1101.051.

Q: Is a Jury Trial Required?

A: A jury trial is not required for an adjudication of incapacity and an appointment of a qualified guardian. However, if requested by the ward, a jury trial must be provided.

Tex. Estates Code §1055.052.

Q: If a jury is requested, how many jurors are required?

A: A jury of six is proper to hear a contested guardianship proceeding in a county court at law. A jury of 12 is proper, if requested, to hear a contested guardianship proceeding in a statutory probate court. In re Lynch, 35 S.W.3d 162 (Tex. App.—Texarkana 2000, no pet.)

7 July 2019

Q: May an interested person intervene in a guardianship proceeding?

A: If an interested person seeks to intervene in a guardianship proceeding, that person must first get the courts permission by filing a motion to intervene in a timely manner and explain the ground for the intervention. A person who is entitled to notice under Section 1051.104 is not required to file a motion under this section to intervene. Tex. Estates Code §1055.003.

Q: Who is an interested person for guardianship proceedings?

A: An interested person means an heir, devisee, spouse, creditor, or any other person having a property right in or claim against an estate being administered, or a person interested in the welfare of an incapacitated person. Tex. Estates Code §1002.018.

Q: What is the burden of proof to establish incapacity?

A: The burden of proof in a case where incapacity is contested is upon the person alleging the capacity. The burden of proof of incapacity in a guardianship proceeding is by clear and convincing evidence. Tex. Estates Code §1101.101(a).

Q: What Findings and Proof are required for the court to appoint a guardian?

A: Before appointing a guardian of the ward, the court must find the following by clear and convincing evidence: 1) The proposed ward is an incapacitated person; 2) It is in the best interest of the proposed ward to have a court appointed person as a guardian of the proposed ward; 3) The rights of the proposed ward or proposed wards property will be protected by the appointment of a guardian; 4) Alternatives to guardianship that would avoid the need for the appointment of a guardian have been considered and determined not to be feasible; 5) Supports and services available to the guardianship that would avoid the need for the appointment of a guardian have been considered and determined not to be feasible.

The court must also find by a preponderance of the evidence: 1) The court has venue; 2) That the guardian is eligible to act as guardian and is entitled to appointment, or, if no eligible person to appointment applies, that the person appointed is a proper person to act as a guardian; 8 July 2019

3) In the case of a minor, that the guardianship is not created for the primary purpose of enabling a minor to enroll in a school they would not ordinarily be entitled to enroll; and 4) That the proposed ward is without capacity as provided by this title to care for himself or herself and to manage his own property. If the court finds the person is partially incapacitated, then the findings must specifically state whether the person lacks the capacity, or lacks specific capacity with support and services, to make personal decisions regarding residence, voting, operating a motor vehicle and marriage.

The court may not grant an application to create a guardianship unless the applicant proves each element required by this title. Tex. Estates Code §1101.101.

Q: Must an applicant establish Recurring acts to establish a guardianship?

A: A determination of incapacity of an adult proposed ward, other than a person who must have a guardian appointed to receive funds due the person from a governmental source, must be evidenced by recurring acts or occurrences in the preceding six months and not by isolated instances of negligence or bad judgment. Tex. Estates Code §1101.102.

Q: Is examination by a physician required?

A: Except as provided for in Section 1101.104 concerning when intellectual disability is the basis of alleged incapacity, for a minor or if a guardianship is necessary to receive government benefits, no guardianship of an incapacitated person may be created unless the applicant presents to the court a medical certificate or letter from a physician filed with the court, based on an examination made within 120 days of filing. The certificate must: 1) Describe the nature, degree, and severity of the proposed ward’s incapacity, including any functional deficits regarding the proposed ward’s ability to: a. Handle business and managerial matters; b. Manage financial matters; c. Whether in the doctor’s opinion, the proposed ward has the ability to safely operate a motor vehicle; d. Make personal decisions regarding residence, voting, and marriage; e. Consent to medical, dental, psychological, or psychiatric treatment; f. The doctor should provide a summary of the proposed ward’s physical condition, mental functioning and summarize the ward’s medical history if reasonably available; 9 July 2019

2) The evaluation shall state whether improvement in the proposed ward’s physical condition and mental functioning is possible and, if so, state the period after which the proposed ward should be reevaluated to determine whether a guardianship continues to be necessary; 3) State in what manner the proposed ward’s ability to make or communicate responsible decisions concerning himself or herself is affected by the proposed ward’s ability to: a. Understand or communicate; b. Recognize familiar objects and individuals; c. Solve problems; d. Reason logically and; e. Administer to daily life activities with and without supports and services; f. State whether any current medication affects the proposed ward’s demeanor or ability to participate fully in a court proceeding; g. Describe the precise physical and mental conditions underlying a diagnosis of mental disability, and state whether the proposed ward would benefit from the supports and services and whether the proposed ward would benefit from supports and services that would allow the individual to live in the least restrictive setting; h. State whether a guardianship is necessary for the proposed ward and whether specific powers or duties of the guardian should be limited if the proposed ward receives support and services.

If the court determines it is necessary, the court may appoint the necessary physicians to examine the proposed ward. Tex. Estates Code §1101.103.

Q: What should be in an order appointing a guardian with full authority?

A: An order appointing a guardian with full authority should state: 1) 2) 3) 4)

The name of the person appointed; The name of the ward; That the guardian has full authority over the incapacitated person; If necessary, the amount of funds from the estate the court will allow the guardian to spend for education and maintenance; 5) Whether the guardian is of the person, estate or both; 6) Whether the incapacity is the result of a mental condition; 7) That the person does not have the capacity to operate a motor vehicle make personal decisions regarding residence, and to vote in a public election; 10 July 2019

8) Any bond required; 9) If it is a guardianship of the person, or person and estate, right of the guardian to have the physical possession of the ward and to establish the ward’s legal domicile; 10) The clerk will issue letters of guardianship to the person appointed when qualified; 11) An order that grants a guardian rights under Section 1151.051(c) must include the order found in this section directed to law enforcement for carrying out the order. Tex. Estates Code §§1101.151, 1101.153. 4 Q: What should be in an order appointing a guardian with limited authority?

A: The order should include: 1) The name of the guardian; 2) The name of the ward; 3) The specific powers, limitations, and duties of the guardian with respect to the person’s care or management or management of the property commensurate with the proposed ward’s abilities; 4) The specific rights and powers retained by the ward; 5) Whether the ward is incapacitated because of a mental condition and if so whether the person retains the right to make personal decisions regarding residence, the right to vote in a public election, or the eligibility to hold a driver’s license; 6) May set a time during which a petition for adjudication that the ward may no longer require the guardianship; 7) That the clerk will issue letters of guardianship to the person appointed when the person has qualified according to law; 8) An order that includes the right of the guardian to have physical possession of the ward or to establish the ward’s legal domicile as specified in Section 1151.051(c) must include the language from the section in the order for law enforcement. Tex. Estates Code §1101.152.

Q: For how long is the guardian appointed?

A: If the physicians letter or certificate under Section 1101.103 states the improvement of the ward’s physical condition or mental functioning is possible and specifies that the ward should be reevaluated in less than a year to determine whether it is necessary to continue the guardianship, then the order must include the date by which the guardian

4

See Exhibit 9 and Exhibit 10 for Court Ordered Instructions and Duties of the Guardian.

11 July 2019

must submit an updated letter or certificate that meets the requirements of that section.

Tex. Estates Code §1101.153(a)(1).

Q: How is the guardian qualified?

A: The guardian should take the oath before a notary or deputy clerk within 20 days from the order granting letters of guardianship. However, the oath and bond may be filed later if the order has not been revoked. Tex. Estates Code §1105.003.

Q: When will letters of guardianship be issued?

A: After the oath and bond have been filed, the county clerk will issue letters of guardianship. Tex. Estates Code §1106.001.

Q: What are the certification requirements for being a guardian?

A: Under section 155.012 of the Texas Government Code, an individual who is a private guardian; an individual who will provide services to a ward of a private professional guardian on the guardians behalf, a person other than a volunteer who will provide these services under the Texas Human Resources Code or under a Department of Aging and Disability Program must be certified by the Texas Judicial Branch Certification Commission.

A family member or friend of an incapacitated person is not required to be certified under these rules.

To qualify, the applicant must meet the following certification requirements: 1) 2) 3) 4) 5)

File applications on forms of the commission; Pay all required fees; Be at least 21 years of age; Be a high school graduate or have a GED equivalent; Have 2 years of relevant work experience related to guardianship, or have these education/ training requirements: a) At least a bachelor’s degree in a field relevant to guardians; or b) Completion of a Commission approved course curriculum or training specifically related to guardianship; c) Successfully pass a Commission approved exam, after no more than 4 attempts; 6) Attest whether applicant has ever been adjudged guilty or pled no contest to a crime of moral turpitude or other enumerated crimes under the Texas Penal Code;

12 July 2019

7) Attest whether the applicant has been relieved of guardianship responsibilities by a court, client or employer for actions involving fraud, moral turpitude, misrepresentation, material omission, misappropriation, theft or conversion; 8) Attest Whether the applicant has been civilly liable or settled a claim involving allegations of fraud, moral turpitude, misrepresentation, material omission, misappropriation, theft or conversion on the part of the applicant; 9) Attest whether the applicant has ever been denied certification, or had certification revoked in Texas or any other jurisdiction; 10) Attest whether the applicant has ever surrendered certification in Texas or any other jurisdiction; 11) Submit fingerprints to the Department of Public Safety to allow for criminal history for the Board. Estates Code §1104.251; Government Code §155.001; Texas Judicial Branch Certificate Commission Rules for Guardianship Certification.

Q: How does a ward have their capacity restored or guardianship modified?

A: A ward or any person interested in the ward’s welfare may file a written application with the court for an order: 1) Finding that the ward is no longer an incapacitated person and request an order settling and closing the guardianship; 2) Finding that the ward lacks the capacity, or lacks sufficient capacity with support and services, to do some or all of the tasks necessary to provide food, clothing, or shelter for himself, to care for the ward’s own physical health, or to manage the ward’s own financial affairs and grant additional powers or duties to the guardian; 3) Finding a complete guardianship should be modified given a ward’s sufficient capacity, or sufficient capacity to do some of the tasks necessary to provide food, clothing, or shelter for himself, to care for his own physical health, or to manage the ward’s own financial affairs the guardianship should be modified to limit the guardian’s powers or duties and permitting the ward to care for himself etc. Tex. Estates Code §1202.051.

Q: What is the Judicial Procedure to restore capacity?

A: The court hearing an application for complete restoration of a ward’s capacity or modification of a ward’s guardianship should generally consider only evidence regarding the ward’s mental or physical capacity at the time of the hearing that is relevant to the restoration of capacity or modification of the guardianship. Tex. Estates Code §1202.151.

13 July 2019

Q: What findings are required to order closing of a guardianship?

A: The court must find by a preponderance of the evidence that the ward is no longer partially or fully incapacitated. Before limiting the powers granted to or duties required of a guardian, the court must find by a preponderance of the evidence that the current nature and degree of incapacity warrants a modification of the guardianship and that some of the ward’s rights need to be restored, with or without supports and services. Tex. Estates Code §1202.153.

The court may not grant an order completely restoring a ward’s capacity or modifying a ward’s guardianship unless the applicant presents to the court a written letter or certificate from a licensed physician in Texas dated not earlier than the 120th day before the application to modify is filed or after the application is filed but before a hearing. The letter must: 1) Describe the nature and degree of incapacity and the doctor’s opinion whether the ward has the capacity with or without supports and services to provide food, clothing and shelter for himself, to care for ward’s own physical health and to manage the financial affairs of the ward; 2) Provide a medical prognosis specifying the estimated severity of any incapacity; 3) The ward’s ability to make or communicate responsible decisions concerning himself by the ward’s physical or mental incapacity; 4) State whether any current medication affects the demeanor of the ward or the ward’s ability to participate fully in court proceeding; 5) Describe the precise physical and mental conditions underlying a diagnosis of senility, if applicable; and 6) Include any other information required by the court.

In addition, if the court determines it is necessary, it may appoint a physician to examine the ward in the same manner and extent as a ward is examined by a physician under Section 1101.104. Tex. Estates Code §1202.152.

14 July 2019

JUVENILE MENTAL HEALTH MATTERS CHILD WITH A MENTAL ILLNESS Introduction Chapter 55 of the Texas Family Code is titled “Proceedings Concerning Children with Mental Illness or Mental Retardation” and is organized into four subchapters. Subchapter A, “General Provisions” defines “having a mental illness” by referencing the definition of “mental illness” in §571.003, Health and Safety Code and sets forth a juvenile court’s mental health jurisdiction.

Subchapter C covers proceedings for a child unfit to proceed as a result of mental illness or mental retardation 1, and Subchapter D covers proceedings for a child who lacks responsibility for conduct as a result of mental illness or mental retardation. Juvenile unfitness proceedings are similar to adult incompetence proceedings, although broader.

Lack of responsibility as a result of mental illness or mental retardation is most similar to questions of adult sanity in a judicial proceeding.

This section of this publication centers on Subchapter B mental health proceedings and does not address unfitness and lack of responsibility proceedings under Subchapters C and D, Chapter 55, of the Family Code. Subchapter B, titled Child With a Mental Illness, encompasses a process that has no analogue in adult criminal law. This reflects the juvenile justice system’s emphasis on rehabilitation and treatment, rather than punishment.

The first part of this section briefly addresses the screening protocols and rules pertaining to probation department referrals before the child is seen by a juvenile judge, magistrate, or referee. The second part addresses rules and procedures once the child has interacted with the juvenile court itself.

1 Although the Texas Legislature has made efforts to remove the term “mental retardation” and instead use the term “intellectual disability,” the Legislature has not yet amended the Juvenile Justice Code to reflect the change in terminology. Therefore, this publication uses the admittedly outdated term.

1 July 2019

Mental Health Screening Upon Referral to a Juvenile Probation Department and Prior to Judicial Proceedings Q: Is there a mental health screening protocol that should be followed at intake similar to suicide?

A: Juvenile probation departments are required to use a mental health screening instrument designated by the Texas Juvenile Justice Department or provide a clinical assessment by a licensed mental health professional for all juveniles who receive a formal referral to the juvenile probation department. Tex. Hum. Res. Code §221.003(a); Title 37, Tex. Admin. Code §341.500(a).

The mental health screening instrument designated by the Texas Juvenile Justice Department is the MAYSI-2 health screening instrument.

The individual administering the health screening instrument must have received training on administering the health screening instrument from the Texas Juvenile Justice Department. Title 37, Tex. Admin. Code §341.500(c).

Q: When is the MASYI-2 administered?

A: The mental health screening instrument must be administered within 14 calendar days after the date of the first face-to-face contact between the juvenile and a juvenile probation officer, if the juvenile is not admitted into detention. Title 37, Tex. Admin. Code §341.500(b).

If the juvenile is admitted into detention, the detention facility is to administer the mental health screening instrument within 48 hours of admission [or within 2 hours if the facility uses the mental health screening instrument to satisfy suicide screening requirements], and the results are to be sent to the supervising juvenile probation officer. Title 37, Tex. Admin. Code, §343.404.

A mental health screening instrument must be administered (or a clinical assessment provided in lieu of the mental health screening instrument) even if a resident is released from detention before the 48-hour time limit. Title 37, Tex. Admin. Code, § 341.500(a)(3).

Q: What if a child’s scores on the MAYSI-2 indicate mental illness is at issue?

A: If the child’s scores on the mental health screening instrument or clinical assessment indicate a need for further mental health assessment, the probation department must 2 July 2019

refer the child to the local mental health authority unless the probation department employs or contracts with a mental health professional. Tex. Fam. Code §51.21(a).

A probation department must report each referral of a child to the local mental health authority to the Texas Juvenile Justice Department in a format specified by the TJJD. Tex. Fam. Code §51.21(b).

After Referral to the Juvenile Court Q: What is the mental health jurisdiction of a juvenile court?

A: Juvenile court jurisdiction to initiate proceedings to order mental health services or for commitment of a child under Subtitle C or D, Title 7, Health and Safety Code is expressly granted in §55.02 of the Family Code.

Subtitle C, Title 7 of the Health and Safety Code spans Chapter 571 through 579 of the Health and Safety Code, and is commonly referred to as the Texas Mental Health Code.

Subtitle D, title 7, Health and Safety Code spans Chapters 591 through 594 of the Health and Safety Code, and is titled the Persons with an Intellectual Disability Act. Q: At what stage of proceedings may a juvenile court make inquiry into a child’s mental health?

A: At any stage of the proceedings, a juvenile court may at its own discretion or upon the request of the child’s parent or guardian order a child to be examined by a disinterested, qualified expert to determine whether the child has a mental illness, as defined by Section 571.003, Health and Safety Code, mental retardation or a chemical dependency. Tex. Fam. Code §51.20(a).

Although Chapter 55 of the Family Code contains the formal procedures for mental health commitment of a juvenile, the authority to order a physical or mental examination at any time under Chapter 51 is much broader. The juvenile court may order a Section 51.20 examination to assist the court with assessing the juvenile’s mental capacity to participate in rehabilitative programs or to assess what conditions of probation are appropriate for the child. For example, since 1995, community service is a mandatory condition of juvenile probation. Under Section 54.04(a) of the Family Code, the court may excuse community service if the court determines and enters a finding on the order placing the child on probation that the child is physically or mentally incapable of participating in the project. Tex. Fam. Code §54.044(a)(1).

3 July 2019

Q: What if the examination ordered under Texas Family Code §51.20(a) leads to a finding that the child has a mental illness?

A: If the examination ordered under §51.20(a) and any other relevant information shows there is “reason to believe” the child has a mental illness, intellectual disability, or chemical dependency, then §51.20(b) requires the probation department to refer the child to the local mental health authority or to another appropriate and legally authorized agency or provider for evaluation and services unless the prosecuting attorney has filed a petition under Family Code §53.03. Tex. Fam. Code §51.20(b).

The probation department must report each referral to a local mental health or mental retardation (intellectual disability) authority or another agency or provider to the Texas Juvenile Justice Department in the format specified by the Department. Tex. Fam. Code §51.20(d).

As of this writing, there is no case law construing the phrase “reason to believe” a child has a mental illness, intellectual disability, or chemical dependency necessitating a referral to the local mental health authority. That said, a plain language analysis suggests the standard is less than probable cause.

Q: When must the juvenile court initiate an inquiry into whether a child has a mental illness?

A: On a motion by a party, the juvenile court shall determine whether probable cause exists to believe that a child who is alleged by petition or found to have engaged in delinquent conduct or conduct indicating a need for supervision has a mental illness. Tex. Fam. Code §55.11(a).

If the juvenile court finds there is probable cause that the child has a mental illness, the court shall temporarily stay the juvenile court proceedings and immediately order the child to be examined under Section 51.20 of the Family Code [see second Q&A above].

Q: What is the difference between a post-petition 51.20 examination ordered under Family Code Chapter 55 (juvenile mental health proceedings) and a 51.20 examination ordered when there has been no petition filed and/or no adjudication?

A: A post-petition 51.20 examination ordered by a juvenile court under Chapter 55 must include expert opinion as to whether the child has a mental illness and whether the child meets the commitment criteria under Subtitle C, Title 7, Health and Safety Code.

4 July 2019

A 51.20 examination of a child in a juvenile case where the State has declined to file a petition need not assess whether the child meets commitment criteria. A pre-petition 51.20 examination may be ordered for a variety of reasons, including assessment of treatment options.

In both contexts, if the child’s fitness to proceed is at issue, the expert appointed to conduct the evaluation must be qualified under Subchapter B, Chapter 46B, Code of Criminal Procedure, to examine a defendant in a criminal case. Tex. Fam. Code §51.20(a).

Q: If a juvenile court ordering a mental health examination under Chapter 55 determines that evidence exists to support a finding of mental illness and the child meets the commitment criteria of Subtitle C, Title 7, Health and Safety Code (see fourth Q&A above), what are the next steps?

A: If a juvenile court finds that evidence exists to support a finding of mental illness and the child meets commitment criteria, the juvenile proceedings remain temporarily stayed, and the juvenile court shall initiate commitment proceedings under §55.13 for temporary or extended mental health treatment or the juvenile court may refer the child’s case as provided under §55.14 to another appropriate court. If the juvenile court refers the commitment proceedings to another appropriate court, then all of the filings and papers on the child’s mental health are forwarded to the clerk of the receiving court and either the county attorney or, if a county attorney is unavailable, the district attorney. Tex. Fam. Code §55.14.

Q: If the juvenile court has already determined that there is evidence supporting a finding that the child has a mental illness outside of Chapter 55, must an application for court ordered mental health services still be supported by certificates of medical examination?

A: Yes and no.

If the juvenile court initiates commitment proceedings for temporary or extended mental health services, the prosecuting attorney or the attorney for the child may file an application for court-ordered mental health services under §574.001.

Only a prosecutor may file a sworn application that is not accompanied by a certificate of medical examination. Tex. Health & Safety Code §574.001.

5 July 2019

The juvenile court shall appoint at least two physicians necessary to examine the child and to complete the certificates of medical examination required under Health and Safety Code §574.009. Tex. Fam. Code §55.13(c).

If the attorney for the child files the application, the certificates of medical examination should be attached to the application. The certificates should have been generated as part of the earlier §51.20 report. (See fourth Q&A above) If the juvenile court refers the commitment proceedings to another appropriate court, then the referral and forwarding papers to the clerk of the receiving court and receiving prosecutor is deemed by law an application for mental health services under §574.001 of the Health and Safety Code. Tex. Fam. Code §55.14(b).

Q: If a juvenile court or the court to which a child’s case is referred under §55.12(2) initiates commitment proceedings, where is the child housed?

A: There is a discrepancy between §55.13 of the Family Code (commitment proceedings in juvenile court) and §55.14 (referral for commitment proceedings). If the commitment proceedings are referred and the juvenile is in detention, then the juvenile court shall forward all filings and papers to the receiving clerk and prosecutor and order the juvenile released from detention to the child’s home or another appropriate place, order the child detained in an appropriate place other than a juvenile detention facility, or, if an appropriate place to release or detain the child other the juvenile detention facility is not available, then order the child to remain in the juvenile detention facility subject to further detention orders of the court. Tex. Fam. Code §55.14(a)(3).

There is no release, alternative placement, or remain in place subject to future order language in §55.13 for commitment proceedings in the juvenile court.

Q: At what point is the stay of juvenile court proceedings lifted?

A: If the juvenile court or the referral court does not order temporary or extended inpatient mental health services for the child, then the juvenile court shall dissolve the temporary stay and continue the juvenile court proceedings. Family Code §55.17.

If the juvenile court or referral court orders temporary or extended inpatient mental health services for the child, then the stay remains in place while the child is hospitalized.

At least one court of appeals has held that when a juvenile court orders involuntary outpatient mental health services, juvenile proceedings are not required to be stayed. T.J.V. v. State, 899 S.W.2d 379 (Tex. App. – El Paso 1995, no pet.).

6 July 2019

Q: What are the juvenile court’s options after a child is discharged from a mental health facility?

A: If the child is discharged before reaching the age of 18, the juvenile court may dismiss the juvenile court proceedings with prejudice or continue with proceedings under this title as though no order of mental health services had been made. Family Code §55.18.

If the child is still receiving inpatient care at the age of 18 and the child is alleged to have engaged in delinquent conduct that included a violation of a penal law in Family Code §53.045 and no adjudication concerning the alleged conduct has been made, the juvenile court shall transfer all proceedings to a criminal court on the child’s 18th birthday. Tex. Fam. Code §55.19.

As of September 1, 2017, juvenile probation departments may provide “post-discharge services”, including mental health services, for up to six months after the date the child is discharged from probation, regardless of the age of the child. A juvenile board or juvenile probation department may not require the child to participate in post-discharge services. Tex. Hum. Res. Code §142.007.

7 July 2019

MENTAL ILLNESS AND INCOMPETENCY TO STAND TRIAL RAISING THE ISSUE OF INCOMPETENCY TO STAND TRIAL Q: What is the legal definition of incompetency?

A: A person is incompetent to stand trial if the person does not have: (1) sufficient present ability to consult with the person’s lawyer with a reasonable degree of rationale understanding; or (2) a rational as well as factual understanding of the proceeding against the person. Tex. Code Crim. Pro. art. 46B.003(a).

Q: What is the burden of proof for determining incompetency?

A: A defendant is presumed competent to stand trial and shall be found competent to stand trial unless proved incompetent by a preponderance of the evidence. Tex. Code Crim. Pro. art. 46B.003(b).

Q: Who may raise the issue of incompetency in a criminal trial?

A: The defense, prosecution or trial court on its own motion may suggest that the defendant may be incompetent to stand trial in the criminal matter before the court. Tex. Code Crim. Pro. art. 46B.004.

Q: Does the motion raising incompetency to stand trial have to assert specific facts?

A: The motion should set forth information that suggests the person does not have (1) sufficient present ability to consult with the person’s lawyer; or (2) a rational as well as a factual understanding of the proceedings against the person. The motion may be supported by an affidavit setting forth the facts upon which the issue of incompetency is based. Tex. Code Crim. Pro. art. 46B.004(a).

Q: Does the motion have to be in writing?

A: The issue of incompetency should be raised by a written motion; however, the issue can be raised orally or by circumstances and occurrences made known to the court. Tex. Code Crim. Pro. art. 46B.004(a).

INFORMAL INQUIRY Q: Once the suggestion of incompetency is raised by a motion, how should the court proceed?

A: On suggestion that the defendant may be incompetent to stand trial, the court shall determine by informal inquiry whether there is some evidence from any source that 1 July 2019

would support a finding that the defendant may be incompetent to stand trial. Tex. Code Crim. Pro. art. 46B.004(c).

Q: What is the purpose of an informal inquiry?

A: The informal inquiry is an opportunity for the party suggesting incompetence to provide the court enough evidence of the defendant’s incompetence to require a competency evaluation. Tex. Code Crim. Pro. art. 46B.004(c).

Q: How does the court conduct an informal inquiry?

A: The court schedules a hearing so that the party suggesting incompetence has an opportunity to provide some evidence of the defendant’s incompetence. Tex. Code Crim.

Pro. art. 46B.004(c).

Q: What is the burden of proof in an informal inquiry?

A: The court must determine whether there is “some evidence” that may rationally lead to a conclusion of incompetence. This standard is less than a preponderance of the evidence, but evidence of mental illness absent of sufficient evidence to support a finding of incompetence is not enough to satisfy the “some evidence” standard. Sisco v. State, 599 S.W.2d 607 (Tex. Crim. App. 1980); Mata v. State 632 S.W.2d 355 (Tex. Crim. App. 1982).

Q: Does the court have to proceed with an informal inquiry once a party raises a suggestion of incompetency?

A: No. The court has the discretion to order an examination without a formal inquiry.

Tex. Code Crim. Pro. art. 46B.004(c).

EXAMINATION OF THE DEFENDENT Q: How does the court proceed after finding enough evidence to support a determination that the defendant may be incompetent?

A: On the determination that there is some evidence to indicate that the defendant is incompetent to stand trial, the court must order an examination of the defendant by one or more qualified experts to determine whether the defendant is incompetent to stand trial. Tex. Code Crim. Pro. art. 46B.005(a).

Q: How does the court appoint experts to examine the defendant?

A: The court may appoint one or more disinterested experts to: (1) examine the defendant and report to the court on the competency or incompetency of the defendant; and (2) to testify as to the issue of competency of the defendant at any trial or hearing involving that issue. Tex. Code Crim. Pro. art. 46B.021.

2 July 2019

Q: What are the required qualifications of the appointed experts?

A: To qualify for appointment as an expert, a physician must be a psychiatrist or psychologist with the following credentials: Psychiatrists: (1) Be certified by the American Board of Psychiatry and Neurology with added or special qualifications in forensic psychiatry or have at least 24 hours of specialized training relating to incompetency or insanity evaluations, and (2) At least eight hours of continuing education relating to forensic evaluations, completed in the 12 months preceding the appointment.

(3) Six hours of required continuing education in forensic psychiatry completed in the 24 months preceding the appointment. Tex. Code Crim. Pro. art. 46B.022(a) and (b).

Psychologists: (1) Be certified by the American Board of Professional Psychology in forensic psychology or have at least 24 hours of specialized training relating to incompetency or insanity evaluations, and (2) At least eight hours of continuing education relating to forensic evaluations completed in the 12 months preceding the appointment.

(3) Six hours of required continuing education in forensic psychiatry completed in the 24 months preceding the appointment. Tex. Code Crim. Pro. art. 46B.022(a) and (b).

An expert involved in the treatment of the defendant may not be appointed to perform a competency evaluation. However, the treating physician may evaluate the defendant and testify for either side. Tex. Code Crim. Pro. art. 46B.021(c).

Q: What factors must the designated expert consider when evaluating the defendant?

A: A. An expert must consider the defendant’s capacity during a criminal proceeding to: (1) rationally understand the charges against him/her and the potential consequences of the pending criminal proceedings, (2) disclose to counsel pertinent facts, events and states of mind, (3) engage in a reasoned choice of legal strategies and options, (4) understand the adversarial nature of the criminal proceedings, (5) exhibit appropriate courtroom behavior; and (6) testify 3 July 2019

B. Whether the defendant has a diagnosable mental illness or is a person with an intellectual disability. This determination must be supported by current indications and the defendant’s personal history, C. Whether the identified condition has lasted or is expected to last continuously for at least one year.

D. The degree of impairment resulting from the mental illness or intellectual disability if existent, and the specific impact on the defendant’s capacity to engage with counsel in a reasonable and rational manner; and E. In the event the defendant is taking psychoactive or other medications: (1.) whether the medication is necessary to maintain the defendant’s competency, and; (2.) what effect, if any, the medication has on the defendant’s appearance, demeanor, or ability to participate in the proceedings. Tex. Code Crim. Pro. art.

46B.024.

Q: What findings must be included in the designated expert’s report?

A: The report must contain the following: (1.) The expert’s opinion on defendant’s competency or incompetency to stand trial or an explanation as to why the expert was unable to state such an opinion.

The opinion may not be based solely on the defendant’s refusal to communicate during the examination.

(2.) If the expert determines that the defendant is incompetent to stand trial, the report must include: (a.) the nature, severity and expected duration of the defendant’s intellectual disability or mental illness and the impact on the defendant’s capacity during the criminal proceeding, (b.) an estimate of the period needed to restore the defendant’s competency including an opinion as to whether the defendant is likely to be restored to competency in the foreseeable future, and (c.) an opinion on the prospective treatment options appropriate for the defendant.

(3.) The expert must state all clinical observations, findings and opinions on each specific issue referred to the expert by the court.

4 July 2019

(4.) The expert must state the specific diagnostic criteria utilized to support the diagnosis.

(5.) Specifically identify any issue that the expert could not provide an opinion.

(6.) Provide in specific terms the purpose of each procedure, technique or test and each final conclusion.

(7.) Document that the expert clearly explained to the defendant the purpose of the competency evaluation including any special issues referred to the expert by the court, that the report will be provided to the court and all parties and that no physician-patient privilege attaches to the competency evaluation. Tex. Code Crim. Pro. art. 46B.025.

Q: Should the expert’s report include an opinion of the defendant’s sanity at the time of the offense?

A: No. The expert’s report should not contain an opinion of sanity at the time of the offense. A report on sanity at the time of the offence will be submitted in a separate proceeding specifically related to an insanity plea raised as an affirmative defense pursuant to Section 2.04 of the Texas Penal Code and Code of Criminal Procedure Chapter 46(C). Tex. Code Crim. Pro. art. 46B.025(c).

Q: How long does the expert have to submit the report?

A: The expert’s report must be submitted to the court and all parties within 30 days after the date the expert was ordered to evaluate the defendant. The court has discretion to grant an extension for good cause. Tex. Code Crim. Pro. art. 46B.026.

Q: How are experts and diagnostic facilities compensated for their services?

A: The county in which the indictment is returned or information is filed must pay for the services rendered by the expert and the diagnostic facilities. If the services are provided by an expert who is an employee of the local mental health authority, the county must pay the authority for the services. The county must reimburse a diagnostic facility that accepts the defendant for examination for reasonably necessary expenses that are incidental to the proper examination of the defendant. Tex. Code Crim. Pro. art.

46B.027(a) and (b).

INCOMPETENCY TRIAL Q: Must incompetency be determined by a jury?

A: An incompetency trial may be held before the court or jury. A jury must make the final determination if either party requests a jury trial. The court must make the 5 July 2019

determination if neither party requests a jury. Tex. Code Crim. Pro. art. 46B.051(a) and (b).

Q: May the jury that is impaneled to determine the guilt of innocence of the defendant determine the issue of incompetency?

A: No. A separate jury must determine the competency of the defendant. Tex. Code Crim.

Pro. art. 46B.051(c).

Q: What is the burden of proof in a competency hearing?

A: The burden of proof in a competency trial is preponderance of the evidence. Tex. Code Crim. Pro. art. 46B.003(b).

Q: Are peremptory challenges allowed in a competency trial?

A: Yes. A competency hearing is civil in nature therefore Rule 233 of the Texas Rules of Civil Procedure applies which authorizes six per side in district court and three per side in county court.

Q: Do the rules of evidence apply?

A: Yes. Although a competency hearing is not technically considered a trial, it is subject to the same evidentiary rules that govern a trial on the merits. Tex. Code Crim. Pro. art.

46B.008.

Q: How does the court proceed after the defendant is found competent to stand trial?

A: If the court or jury determine that the defendant is competent to stand trial, the court must continue the trial on the merits. Tex. Code Crim. Pro. art. 46B.053.

Q: How does the court proceed if the defendant is found incompetent to stand trial?

A: If the court or jury finds that the defendant is incompetent to stand trial, the court must proceed under the Code of Criminal Procedure, Subchapter D which sets forth the procedures after determination of incompetency.

PROCEDURES AFTER FINDING OF INCOMPETENCY Q: What are the court’s options upon finding that a defendant is incompetent to stand trial?

A: The options for the court vary depending upon the nature of the offense, the likelihood of restoration to competency in the foreseeable future, the threat of danger to others and 6 July 2019

whether or not there is evidence of mental illness or intellectual disability. The court’s options for placement range from outpatient treatment to maximum security.

(1.) What if the defendant is found likely to be restored to competency within the foreseeable future? (a.) Class B Misdemeanor Offense: If the defendant is charged with an offense punishable as a Class B misdemeanor and the court finds that the defendant is likely to be restored to competency in the near future, the court may release the defendant on bail if the judge determines that the defendant is not a danger to others and may be safely treated on an outpatient basis with the specific objective of attaining competency to stand trial, and an appropriate outpatient competency restoration program is available for the defendant.

If defendant is not a danger to others and an appropriate outpatient restoration program is available the court must (1) release the defendant on bail or continue the defendant’s release on bail; and (2) order the defendant to participate in an outpatient program for a period not to exceed 60 days.

The court may order a defendant to participate in an outpatient program only if the court receives a comprehensive plan that provides for the treatment for purposes of competency restoration and identifies the person who will be responsible for providing treatment. The order may require the defendant to participate in an outpatient program administered by a community center or an outpatient program administered by any other entity that provides outpatient competency restoration services and an appropriate prescribed regimen of medical, psychiatric, or psychological care or treatment. Tex Code Crim. Pro. art.

46B.0711. (b.) Class A Misdemeanor or Felony Offense: If the defendant is charged with an offense punishable as a Class A misdemeanor or felony and the court finds that the defendant is likely to be restored to competency in the near future, the court may release the defendant on bail if the judge determines that the defendant is not a danger to others and may be safely treated on an outpatient basis with the specific objective of attaining competency to stand trial, and an appropriate outpatient competency restoration program is available for the defendant.

If defendant is not a danger to others and an appropriate outpatient restoration program is available the court may (1) release the defendant charged with a felony 7 July 2019

on bail or continue the defendant’s release on bail; and (2) order the defendant to participate in an outpatient program for a period not to exceed 120 days.

If defendant is not a danger to others and an appropriate outpatient restoration program is available the court must (1) release the defendant charged with a Class A misdemeanor on bail or continue the defendant’s release on bail; and (2) order the defendant to participate in an outpatient program for a period not to exceed 120 days.

The court may order a defendant to participate in an outpatient program only if the court receives a comprehensive plan that provides for the treatment for purposes of competency restoration and identifies the person who will be responsible for providing treatment. The order may require the defendant to participate in an outpatient program administered by a community center or an outpatient program administered by any other entity that provides outpatient competency restoration services and appropriately prescribed medical, psychiatric, or psychological care or treatment, including the administration of psychoactive medication. Tex. Code Crim. Pro. art. 46B.072.

(2.) How does the court proceed if the defendant is found to be unlikely to be restored to competency in the foreseeable future? (a.) If the court or jury finds that the defendant is unlikely to be restored to competency within the foreseeable future and charges are not dismissed, the court must release the defendant on bond or proceed subject to Subchapter E of Chapter 46B Code of Criminal Procedure Subchapter E, Chapter 46B Code of Criminal Procedure sets forth the provisions for a civil commitment with charges pending. (b.) If the court or jury finds that the defendant is unlikely to be restored to competency with the foreseeable future and charges are dismissed, the court must release the defendant on bond or proceed subject to Subchapter F of Chapter 46B Code of Crimimal Procedure Subchapter F, Chapter 46B Code of Criminal Procedure sets forth the provisions for a civil commitment with charges dismissed.

Tex. Code Crim. Pro. art. 46B.071(b).

(3.) How does the court proceed if the defendant appears to have a mental illness?

8 July 2019

If the defendant appears to be mentally ill, Subchapter E, Article 46B.102 provides that the court must hold a hearing to determine whether the defendant should be courtordered to mental health services under Subtitle C, Title 7, Health and Safety Code. In a proceeding under Subchapter E for a criminal defendant who may be mentally ill, the application for court ordered temporary or extended mental health services may not be required and the Health and Safety Code provisions for notice of hearing do not apply.

Tex. Code Crim. Pro. art. 46B.102.

(4.) What if the defendant appears to have an intellectual disability?

If the defendant appears to have an intellectual disability, the court must hold a hearing to determine whether the defendant meets the criteria for commitment to a residential care facility or community based services. The criteria for commitment and rules governing the proceedings are set forth in Subtitle D, Title 7, Health and Safety Code, Section 593.052. Tex. Code Crim. Pro. art. 46B.103.

(5.) What if the defendant is charged with a violent crime?

If the defendant is charged with a violent felony listed in Art. 17.032 C.C.P., the court must commit the defendant to the maximum security unit of a facility operated by the Texas Department of State Health Services, to an agency of the United States operating a mental hospital, or to a Department of Veterans Affairs. The initial commitment is for a period not to exceed 120 days. Tex. Code Crim. Pro. art. 46B.104.

PROCEEDINGS ON RETURN OF DEFENDANT TO COURT Q: What is the deadline for the defendant’s return to the committing court?

A: The defendant must be returned to the committing court as soon as practicable after the court receives notice of the proposed discharge from the provider of the competency restoration program, but not later than the date of expiration of the period of restoration.

Tex. Code Crim. Pro. art. 46B.081.

Q: What determinations must the court make when the defendant is returned to court?

A: Following the defendant’s return to court, the court must make a determination with regard to the defendant’s competency to stand trial. Tex. Code Crim. Pro. art. 46B.084.

Q: How long does the court have to make the determination of the issue of incompetency?

9 July 2019

A: The has until the 20th day after the court receives notice of a proposed discharge from the provider of the jail-based competency restoration program, or the provider of outpatient competency restoration program. Tex. Code Crim. Pro. art. 46B.084.

Q: What information does the facility provider have to provide the court prior to discharge?

A: A final report that states the reason for discharge. The report must include a list of all medications used to treat the defendant. The court must provide copies of the final report to all parties to allow for the filing of objection to the report. Tex. Code Crim. Pro. art.

46B.084.

Q: May the court make a determination from the report alone without a hearing?

A: Yes. The court may make a determination of competency from the report unless a party objects to the report in writing or in open court within 15 days after the court and parties are notified of the report findings. If a party objects to the report, the court must set a hearing. Tex. Code Crim. Pro. art. 46B.079.

Q: Does the defendant have the right to a jury trial on the issue of competency?

A: Yes. Any party or the court may move for a jury determination on the issue of competency. If neither party nor the court moves for a jury trial, the hearing is held before the court. Tex. Code Crim. Pro. art. 46B.084(b).

Q: What actions must the court take if the judge or jury finds that the defendant is competent to stand trial?

A: The court may resume the criminal proceedings. If the court resumes the proceedings, the record must reflect that the court has made a judicial determination that the defendant has regained competency. Tex. Code Crim. Pro. art. 46B.084(d).

Q: What actions must the court take if the defendant is found incompetent to stand trial due to mental illness?

A: If the court does not dismiss the chargers, the court must conduct civil commitment proceedings subject to Subtitle C, Title 7, Health and Safety Code. Tex. Code Crim. Pro. arts. 46B.084(e); 46B.102(a) and (b).

Q: What actions must the court take if the defendant is found incompetent to stand trial due to an intellectual Disability?

A: If the court does not dismiss the chargers, the court must conduct civil commitment proceedings subject to Subtitle C, Title 7, Health and Safety Code. Tex. Code Crim. Pro. arts. 46B.084(e); 46B.102(a) and (b).

10 July 2019

Q: What specific findings must the court make if the defendant is found to be incompetent to stand trial due to mental illness or an intellectual disability and the court dismisses the charges?

A: Upon dismissing the case, the court must make a finding that the defendant is incompetent due to a mental illness or an intellectual disability and transfer the defendant to the appropriate court for civil commitment proceedings. Tex. Code Crim. Pro. art.

46B.151.

Q: What are the required procedures for extended in-patient mental health services for incompetency due to mental illness or intellectual disability?

A: Mental Illness - A county or district attorney or other adult may file an application to renew an order for extended mental health services. The application must explain in detail why the person requests the renewal. The application to renew an order for inpatient mental health services must also explain in detail why a least restrictive placement is not appropriate. The application must be accompanied by two certificates of medical examination for mental illness must be filed with the court as prerequisites to a hearing on renewal of a civil commitment. The trier of fact must decide the commitment issues.

The subsequent period of commitment may not exceed 12 months. Tex. Health & Safety Code §574.066.

Intellectual Disability - The defendant must be formally determined to have an intellectual disability to be eligible for extended or long-term commitment to a residential care facility or outpatient program. The determination of intellectual disability must be admitted in evidence in the subsequent civil commitment proceeding. The defendant is entitled to a jury trial upon the request of either party or upon the courts own motion.

The court’s order must reflect that the defendant is a person with an intellectual disability and that the evidence demonstrated beyond a reasonable doubt that the person represents a substantial risk of physical impairment or injury to himself or others, or is unable to provide for the person’s most basic needs. The order must also state that the proposed resident cannot be housed in a less restrictive environment and the residential care facility provides the appropriate services, care, training and treatment. There is no specified term of commitment; however the commitment may not exceed that the maximum period of restoration as set forth in Article 46B.0095 Code of Criminal Procedure. Tex. Code Crim. Pro. art. 46B.103; Tex. Health & Safety Code §§593.052; 593.005(b); 593.050(d) and (e).

11 July 2019

Court Ordered Medication of Incompetent Defendants Q: Under what authority may a court order a defendant to take medication?

A: The court has authority to order a defendant to take medication pursuant to Health and Safety Code, Section 574.106 and Article 46B.106 Code of Criminal Procedure. Court ordered medication proceedings begin with the filing of an application for court ordered medication.

(1.) Forced Medication Hearings under Health and Safety Code, Section 574.106 (a.) What is the State’s burden of proof? The court may order a defendant to take psychoactive medications if the State proves by clear and convincing evidence that the proposed medications are in the defendant’s best interest, the defendant lacks the capacity to make a decision regarding the administration of proposed medications and/or the defendant is a danger to himself and others in the facility where he is being treated. (b.) What defendants may be subject to Section 574.106? Section 574.106 is applicable to defendants in custody awaiting trial, incompetent defendants being held in custody for a period exceeding 72 hours while awaiting transfer to an inpatient facility, and defendants under an inpatient court order.

(2.) Forced Medication Hearings under Art. 46B.086 C.C.P. (a.) What is the State’s burden of proof? The court may order a defendant to take psychoactive medications under Art. 46B.086 C.C.P., if the State proves by clear and convincing evidence that: (1.) the proposed medications are medically appropriate, in the best interest of the defendant and do not present side effects that cause a harm that is greater than the medical benefit to the defendant; (2.) the state has a clear and compelling interest in the defendant being competent to stand trial; (3.) no other less invasive means of obtaining competency is available; and (4.) the prescribed medication will not unduly prejudice the defendant’s rights. Tex. Code Crim. Pro. art. 46B.086(e).

Q: What defendants may be subject to Article 46B.086?

12 July 2019

A: Art. 46.086 C.C.P. is applicable to the following defendants who have been found incompetent to stand trial: (1.) defendants being held in custody in excess of 72 hours awaiting transfer to an inpatient, residential or outpatient program; (2.) defendants committed to an inpatient mental health facility or a residential care facility; (3.) defendants who remain in a correctional facility following restoration to competency awaiting further criminal proceedings; or (4.) defendants who are committed to an outpatient program; If the State fails to prove that the defendant committed to an inpatient care facility is a threat to himself and others under Health and Safety Code, Section 574.106, the State may file a motion for court ordered medication under Art. 46.086 C.C.P. The motion must be filed within 15 days after the date Judge finds that the Section 574.106 criteria is not satisfied. The court may order the defendant to take psychoactive medication if the State proves by clear and convincing evidence that the proposed medications are in the best interest of the defendant, and the defendant presents a danger to himself and others.

Q: Does the order require the support of medical testimony?

A: Yes. The order for forced medication under Art. 46B.086 C.C.P. must be supported by the testimony of two physicians. One of the physicians must be the prescribing physician at the correctional facility and the other must be independent of the proceedings against the defendant. Tex. Code Crim. Pro. art. 46B.086(d).

13 July 2019

NO: _______________ STATE OF TEXAS

§

VS.

MAGISTRATE FOR

§ §

COUNTY, TEXAS

APPLICATION FOR EMERGENCY DETENTION I, the undersigned applicant, have reason to believe and do believe that ____________________________________________ evidences a substantial risk of serious harm to himself/herself or others.

This harm is specifically described as follows:

.

I further believe that the risk of harm is imminent unless the person named above is immediately restrained. My belief is derived from specific recent behavior, overt acts, attempts, or threats which are described in detail as follows:

.

My relationship to the person named above is (describe in detail)

.

Other relevant information:

.

Therefore, I request the Magistrate to issue an order and warrant for emergency detention, pursuant to Chapter 573, Health and Safety Code, of the person named above.

Applicant’s name and address:

Applicant’s telephone number(s):

_______________________________________ _______________________________________ _______________________________________

Home: Work:

_______________________________________ Date

_______________________________________________ Signature of Applicant

CAUSE NO.______________

THE STATE OF TEXAS IN THE BEST INTEREST AND PROTECTION OF _________________________________

§ § § § § §

MAGISTRATE FOR

_______________ COUNTY, TEXAS

MAGISTRATE'S ORDER AND WARRANT FOR EMERGENCY APPREHENSION AND DETENTION

On the ______ day of ___________________________ , 20_____, came to be considered an Application for Emergency Detention of the above-referenced person, presented to me by the Applicant therefor.

After examining the Application and any accompanying relevant information, and after having interviewed the Applicant if necessary, I find there is reasonable cause to believe: (1) that the person evidences mental illness; (2) that the person evidences a substantial risk of serious harm to self or others; (3) that the risk of harm is imminent unless the person is immediately restrained; and (4) that necessary restraint cannot be accomplished without emergency detention.

Thus I find that the person meets all four criteria for emergency detention as set forth in Subsection (b) of Section 573.012, Texas Health and Safety Code.

It is therefore ORDERED that a Warrant be issued for the immediate apprehension and detention of the person to the nearest appropriate in-patient mental health facility, or if none is available, to a facility deemed suitable by the mental health authority for this County, for the preliminary examination in accordance with the provisions of Texas Health and Safety Code section 573.021.

It is further ORDERED that the Warrant shall serve as the application required in section 573.021(a), and that copies of the Application for Emergency Detention and the Warrant be immediately transmitted to such facility. _____________________________________ MAGISTRATE

CAUSE NO.______________

WARRANT THE STATE OF TEXAS COUNTY OF TO ANY PEACE OFFICER OF THE STATE OF TEXAS, GREETINGS: You are hereby commanded to immediate seize and apprehend [patient name] and transport same to [name of facility] in County, Texas for the purpose of preliminary examination, as provided in Texas Health and Safety Code Section 573.021.

HEREIN FAIL NOT, but of this writ made due return, showing how you have executed the same.

WITNESS my official signature, this

day of

, JUDGE COURT COUNTY, TEXAS

, 20

.

CAUSE NO.______________

TO: Name of Person Apprehended You are being temporarily detained to determine if you are suffering from mental illness such that you need mental health services for the protection of yourself and others. The following is the name of number (called the “style) of your case.

NO.

THE STATE OF TEXAS IN THE BEST INTEREST AND PROTECTION OF _________________________________

§ § § § § §

MAGISTRATE FOR

_______________ COUNTY, TEXAS

Among your rights, you have the right to know the following information.

1. You are being detained at a. The reasons for your detention are

[name of facility].

b. This temporary detention could result in a longer period of involuntary commitment to a mental health facility.

2. You have the right to contact an attorney of your own choosing, and the right to a reasonable opportunity to contact that attorney.

3. If you are not admitted for emergency detention, you have the right to be transported back to the location of your apprehension or to your place of residence in Texas or other suitable locations. Unless you are arrested or object to the return.

4. You have the right to be released from detention if the administrator of this facility where you are being held determines that any one of the follow four criteria for emergency detention no longer apply: a. That you are mentally ill; or b. That you show that a substantial risk of serious harm to yourself or others would result from your release, as determined either by your behavior or by evidence of severe emotional distress and deterioration in your mental condition to the extent that you cannot remain at liberty; or

CAUSE NO.______________

c. That the risk of harm to yourself or to others is imminent unless you are immediately restrained at this time; or d. That emergency detention is the least restrictive means by which necessary restraint may be accomplished.

5. If you talk with or communicate with a mental health professional, those circumstances may be used in proceedings for further detention.

The above-named person was advised within 24 hours of admission, orally, in simple, non-technical terms of the above listed types. In addition, the person was informed in writing of those same rights, in the person’s primary language if possible. If said person was hearing and/or visually impaired, those rights were communicated through means reasonably calculated to communicate those rights, in the following manner:

Witness

Peace Officer of Facility Representative

Witness

Title COPY TO BE RETURNED TO COURT

Notification -- Emergency Detention

NO. ___________________

Date: _______________ Time: _______________

THE STATE OF TEXAS FOR THE BEST INTEREST AND PROTECTION OF:

_____________________________________

NOTIFICATION OF EMERGENCY DETENTION Now comes ______________________________, a peace officer with (name of agency) __________________ __________________________________, of the State of Texas, and states as follows: 1. I

have reason to believe and do believe that (name ____________________________________ evidences mental illness.

of

person

to

be

detained)

2. I have reason to believe and do believe that the above-named person evidences a substantial risk of serious harm to himself/herself or others based upon the following:

__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 3. I have reason to believe and do believe that the above risk of harm is imminent unless the above-named person is immediately restrained.

4. My beliefs are based upon the following recent behavior, overt acts, attempts, statements, or threats observed by me or reliably reported to me:

__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 5. The names, addresses, and relationship to the above-named person of those persons who reported or observed recent behavior, acts, attempts, statements, or threats of the above-named person are (if applicable):

__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ For the above reasons, I present this notification to seek temporary admission to the (name of facility) _________________________ inpatient mental health facility or hospital facility for the detention of (name of person to be detained) __________________________ on an emergency basis.

6. Was the person restrained in any way? Yes □ No □ _____________________________________ PEACE OFFICER’S SIGNATURE

BADGE NO. ________________________

Address: ____________________________________________

Zip Code: _______________________

Telephone: ___________________________ A mental health facility or hospital emergency department may not require a peace officer to execute any form other than this form as a predicate to accepting for temporary admission a person detained under Section 573.001, Texas Health and Safety Code.

_______________ County Jail Inmate Mental Condition Report to Magistrate NAME______________________________ OFFENSE______________________________________ ARRESTING AGENCY: ______________________________________________________________ BOOKING OFFICER_______________________ BOOKING TIME______ DATE________________ The above inmates may have mental health issues based on: Observation of law enforcement officer at time of arrest CCQ return show possible match Self admission by inmate at booking Subject is violent and appears to be a danger to themselves or others Medical evaluation by Emergency Room or other Medical Professional Previous arrest/medical records of the jail Observation of Jail Staff No Indication/No Notification Made Details: ____________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ As required by law, this notification is made to the magistrate in reference to an observation or report of possible mental illness by the above listed means. It is required within 12 hours after receiving credible information of reasonable cause to believe that a defendant committed to the Sheriff’s custody: 1) Has mental Illness 2) Is a person with mental retardation or 3) the observations of the defendant’s behavior immediately before, during and after the defendants arrest and the results of any previous assessment of the defendant for mental illness. (Art. 16.22 (a)

MAGISTRATE SIGNATURE: ________________________________________________________ MAGISTRATE NOTIFIED AT______________ ON ________________BY___________________ (Fax-Email-Direct)

OFFICER SENDING NOTIFICATION: ________________________________________________

CAUSE NO. __________________ THE STATE OF TEXAS VS. ______________________

§ § § § §

MAGISTRATE FOR

__________________ COUNTY, TEXAS

ORDER REQUIRING DEFENDANT TO SUBMIT TO ARTICLE 16.22 ASSESSMENT The Court finds that, on the ______ day of _______________, 20___, the Court determined that there was reasonable cause to believe that _______________________________ [defendant], date of birth ___________________________, has a mental illness or is a person with an intellectual disability.

The Court ordered that _________________________________ [LMHA, LIDDA, or other qualified mental illness or intellectual disability expert] (1) collect information regarding whether the defendant has a mental illness as defined by Texas Health and Safety Code section 571.003 or is a person with an intellectual disability as defined by Texas Health and Safety Code section 591.003 and (2) provide the magistrate a written assessment of the information collected.

The Court further finds that the defendant has refused to submit to the ordered assessment.

IT IS THEREFORE ORDERED that, pursuant to Texas Code of Criminal Procedure 16.22(a)(3), a warrant shall issue for the immediate apprehension, detention, and transportation of the defendant to (initial and complete one of the following): ____ _______________________________________ [jail]; or ____ ________________________________ [placed determined by LMHA or LIDDA].

The defendant may be detained for a reasonable period not to exceed 72 hours from the time of apprehension.

SIGNED this _________ day of ______________________, 20___. ______________________________________ Magistrate City: _______________________________ County: _______________________________

CAUSE NO. __________________ THE STATE OF TEXAS VS. ______________________

§ § § § §

MAGISTRATE FOR

__________________ COUNTY, TEXAS

TO: ANY PEACE OFFICER OF THE STATE OF TEXAS GREETINGS: You are hereby commanded to apprehend ________________________________________ and transport same to _______________________________________________________________ for the purpose of assessment under Texas Code of Criminal Procedure article 16.22.

Herein fail not, but of this writ make due return, showing how you executed same.

Given under my hand this _____ day of _______________ , 20___. ______________________________________ Magistrate City: _______________________________ County: _______________________________ ........................................................................................................................................................................

OFFICER’S RETURN Received the _____ day of ___________, 20___, and executed by apprehending the person, ______________________________________, and transporting the person to _________________________________________________________ for assessment under Texas Code of Criminal Procedure article 16.22.

Date Executed: _______________________ Time:___________________ By: __________________________________ Peace Officer

COLLECTION OF INFORMATION FORM FOR MENTAL ILLNESS AND INTELLECTUAL DISABILITY AUTHORITY: Art. 16.22, Code of Criminal Procedure & Sec. 614.0032, Health &Safety Code Approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI)

SECTION I: DEFENDANT INFORMATION

Defendant Name (Last, First): Date of Birth:

Offense:

CARE Identification # (If available):

SID or CID # (If available):

Last Four Digits of Social Security Number: Current County or Municipality of Incarceration:

Date of Magistrate Order:

SECTION II: PREVIOUS HISTORY

Has the defendant been determined to have a mental illness or to be a person with an intellectual disability within the last year? ☐Yes ☐No ☐ Unknown Date of Previous Assessment (if applicable): Previous Mental Health and/or Intellectual Disability Assessment Information (if available):

SECTION III:

CURRENT INFORMATION

Most Recent Diagnosis(es) and Date(s) (if available):

At time of the collection of information or as indicated on the jail screening form for suicide and medical/mental/developmental impairments, is the defendant acutely decompensated, suicidal, or homicidal according to self-report? ☐Yes- Circle Above ☐No ☐ Not Applicable- Reason Other relevant information pertaining to mental health and intellectual disability history and/or previous treatment recommendations:

Observations and Findings Based on Information Collected: ☐Defendant is a person who has a mental illness. ☐Defendant is a person who has an intellectual disability. ☐There is clinical evidence to support the belief that the defendant may be incompetent to stand trial and should undergo a complete competency examination under Subchapter B, Chapter 46B, Code of Criminal Procedure. ☐Any appropriate or recommended treatment or service:

☐None of the above.

Procedures Used to Gather Information: SECTION IV: INFORMATION OF PROFESSIONAL SUBMITTING FORM

Name and Credentials of Person Submitting Form: Date of Submission: Upon completion of this form, its contents remain confidential as applicable to Health and Safety Code Chapter 614.017 Approved February 2018

COLLECTION OF INFORMATION FORM FOR MENTAL ILLNESS AND INTELLECTUAL DISABILITY AUTHORITY: AUTHORITY: Art. 16.22, Code of Criminal Procedure & Sec. 614.0032, Health &Safety Code Approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI)

INSTRUCTIONAL GUIDELINES This form is not to be confused or supplemented by the “Screening Form for Suicide and Medical/Mental/Developmental Impairments” as required by the Texas Commission on Jail Standards

Section I: DEFENDANT INFORMATION  Defendant Name should be filled out by last name followed by first name.  Offense information should include arresting offense information.  Date of Birth and last four digits of social security number are to be obtained to assist in validating identity.  CARE Identification # – If available, this number should be complimentary to the CCQ match.  SID or CID Number – If available, this number should include the State Identification Number (SID) or the County Identification (CID) Number.  List the Current County or Municipality of the current incarceration.  Date of Magistrate Order should be the date the magistrate signed the order which initiates the timeframes for completing the collection of information (not later than 96 hours for a defendant in custody; not later than 30 days for a defendant not in custody).

Section II: PREVIOUS HISTORY  Has the defendant been determined to have a mental illness or to be a person with an intellectual disability within the last year?  If Yes – The Magistrate is not required to order the collection of information if the defendant in the year proceeding the defendant’s applicable date of arrest has been determined to have a mental illness or to be a person with an intellectual disability by the local mental health authority, local intellectual and developmental disability authority, or another mental health or intellectual disability expert described.  If No – Further collection of information under this form will be necessary for applicable defendants.  If Unknown - Further collection of information under this form may be necessary for applicable defendants.  Previous Mental Health and/or Intellectual Disability Assessment Information and Date - If available, collect information regarding whether the defendant has a mental illness as defined by Section 571.003, Health and Safety Code, or is a person with an intellectual disability as defined by Section 591.003, Health and Safety Code, including, if applicable, information obtained from any previous assessment of the defendant and information regarding any previously recommended treatment.

Note: Include source of information. Examples are self-report, CARE or CCQ match, or clinical records available from local mental health authority of local intellectual developmental disability authority.

Section III: CURRENT INFORMATION  Most Recent Diagnosis(es) and Date(s) - If available, include information here.  Is the client acutely (at time of assessment or as indicated on the jail screening form for suicide and medical/mental/developmental impairments) decompensated, suicidal, or homicidal according to self-report?  If Yes – select yes.  If No – select no.  If Not Applicable – Indicate the reason why here.

Upon completion of this form, its contents remain confidential as applicable to Health and Safety Code Chapter 614.017 Approved February 2018

COLLECTION OF INFORMATION FORM FOR MENTAL ILLNESS AND INTELLECTUAL DISABILITY AUTHORITY: AUTHORITY: Art. 16.22, Code of Criminal Procedure & Sec. 614.0032, Health &Safety Code Approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI)

Note: This information may be helpful to the magistrate or judge, as it will allow the magistrate or judge to know the severity of the defendant’s mental health status for prioritization purposes.  Other relevant information pertaining to mental health history and/or previous treatment recommendations – Note: Examples may include the following:  Previous competency examination results or outcome of examination results;  Parole, Probation or Pre-Trial Supervision status;  Military history is applicable to treatment history;  If this section is not applicable, indicate as such.  Observations and Findings Based on Information Collected– Select option as appropriate.

Note: Any appropriate or recommended treatment or service – Include whether the defendant warrants a competency examination, outpatient services, etc. Provide any recommendation for further assessment/evaluation by higher level clinical providers.  Procedures Used to Gather Information – Include informational sources used to collect information.

Examples may include: Sources of information such as, self-report, CARE or CCQ match, previous psychological evaluations, assessments or clinical records available from local mental health authority of local intellectual developmental disability authority.

Section IV: INFORMATION OF PROFESSIONAL SUBMITTING FORM  Name and Credentials of Person Submitting Form – Person completing the form along with his or her credentials, is to be listed here. Note: This form is to be completed by the local mental health authority, local intellectual and developmental disability authority, or another qualified mental health or intellectual disability expert.  Date of Submission – Include the date the form is submitted to Magistrate.

Upon completion of this form, its contents remain confidential as applicable to Health and Safety Code Chapter 614.017 Approved February 2018

Office of Court Administration Current through 9/1/2017

Screening/Assessment for Arrested Defendant with MI/ID Sheriff/Jailer receives information that defendant has MI or ID (Class B or higher). Ex. CCQ check or jail screening form.

Arrest

Does the magistrate find reasonable cause of defendant MI or ID?

Sheriff/Jailer provides written/electronic notice to magistrate within 12 hours or receipt of information.

Does defendant refuse assessment?

Defendant on bond?

Report due within 96 hours of order

Report due within 30 days of order

TCCP 16.22(b)

TCCP 16.22(b)

TCCP 16.22(b-1), 16.22(e)

N

Magistrate orders LMHA, LIDD, or other QMH/ID assessment.

N

Y

STOP

No assessment required.

Magistrate may order defendant to jail or another place for up to 72 hours for assessment.

TCCP 16.22(a)(3)

Defendant in jail?

Copies of report to prosecutor, defense attorney, and court.

Number of reports monthly to OCA.

Y

Y

TCCP 16.22(a)(1), 16.22(a)(2)

TCCP 16.22(a)(1)

QMH/ID assesses defendant for MI or ID and provides report to magistrate.

Has defendant previously been assessed in past year?

MI: MH: ID: LMHA: LIDD: QMH/ID: TCCP:

Does report show defendant has MI or ID? TCCP 17.032(b)(2)-(3)

Y

Is defendant charged with or convicted of violent offense?

TCCP 17.032(a)

N

Does magistrate determine communitybased MH/ID services are appropriate and available?

Mental Illness Mental Health Intellectual Disability Local Mental Health Authority Local Intellectual and Behavioral Disability Authority Quality Mental Health/Intellectual Disability Texas Code of Criminal Procedure

Y

Does magistrate determine defendant can be safely released?

TCCP 17.032(b)(5)

TCCP 17.032(b)(4)

N

Y

Y N

STOP

Magistrate shall release defendant on personal bond and require treatment and any other reasonable condition of bond.

TCCP 17.032(b)(5), (c), and (d)

No. IN THE GUARDIANSHIP OF

§ § ___________________________ § § AN ALLEGED INCAPACITATED § PERSON §

IN THE PROBATE COURT NUMBER

COUNTY, TEXAS

APPLICATION FOR APPOINTMENT OF PERMANENT GUARDIAN OF THE PERSON TO THE HONORABLE JUDGE OF SAID COURT: NOW COMES, ________________________, Applicant, and files this Application for Appointment of a Permanent Guardian of the Person of _____________________ (“Proposed Ward”) pursuant to Section 1101.001 of the Texas Estates Code, and would respectfully show the Court the following: PROPOSED INCAPACITATED PERSON Proposed Ward is an adult (male/female) who was born on (date of birth) and is ___ years old. Proposed Ward currently resides at (Proposed Ward’s address) where (he/she) can be served.

Proposed Ward’s telephone number is ______________ Proposed Ward is in the care and custody of ______________________ Proposed Ward is an incapacitated person as defined in Section 1002.017(2) of the Texas Estates Code.

VENUE This Court has venue over these proceedings because the Proposed Ward resides in County, Texas, or was located in County, Texas on the date this application was filed or the principal estate of the Proposed Ward is located in County, Texas.

ALTERNATIVES TO GUARDIANSHIP As of the date of filing, alternatives to guardianship and available supports and services to avoid guardianship were considered by applicant. After due consideration of all alternatives to guardianship and available supports and services it was determined none are feasible or would avoid the need for a guardianship.

CITATION AND NOTICE The name, addresses and relationships of those persons required to be served by personal citation pursuant to Section 1051.103 of the Texas Estates Code, to the best of the applicant’s knowledge, are as follows:

Name: Address: Telephone: Relationship:

Proposed Ward

Name: Address: Telephone: Relationship:

Parents

Name: Address: Telephone: Relationship:

Spouse

Name: Address: Telephone: Relationship:

Proposed Guardian

The name, addresses and relationships of those persons required to be notice of this proceeding pursuant to Section 1051.104 of the Texas Estates Code, to the best of the applicant’s knowledge, are as follows: Name: Address: Telephone: Relationship:

Adult Child of Proposed Ward

Name: Address: Telephone: Relationship:

Adult Sibling of Proposed Ward

Name: Address: Telephone: Relationship:

Administrator/Operator of Residential Facility

Name: Address: Telephone: Relationship:

Person Holding POA

The name, addresses and relationships of those persons required to be listed in the application but not required to be served pursuant to Section 1101.001(b)(13)(D) of the Texas Estates Code, to the best of the applicant’s knowledge, are as follows: Name: Address: Telephone: Relationship:

Minor Child of Proposed Ward

The name, addresses and relationships of those persons required to be listed in the application but not required to be served pursuant to Section 1101.001(b)(13)(C) of the Texas Estates Code, to the best of the applicant’s knowledge, are as follows: Name: Address: Telephone: Relationship:

Minor Siblings of Proposed Ward ESTATE

To the best of applicant’s knowledge and belief the estate of the Proposed Ward is de minimus. The Proposed Ward currently receives $________________in (source of monthly income).

OTHER GUARDIANSHIPS/POA To the best of applicant’s knowledge and belief there are no guardianships existing or pending of any kind for the Proposed Ward in the state of Texas or any other state and the Proposed Ward has not executed a power of attorney.

PROPOSED GUARDIAN This application is for the appointment of an eligible and suitable person who is best qualified to serve as Guardian of the Person for (state name of Proposed Ward) possibly, ______________________ who (is/isnot) related to the Proposed Ward and who is not disqualified by law to serve as guardian of the person.

DURATION OF GUARDIANSHIP Applicant requests that the guardianship be granted for an indefinite term. The term of this guardianship shall be until the Ward is restored to full capacity, dies, or until the Court determines this matter shall be terminated.

NATURE OF INCAPACITY According to a (CME or DMR) signed by _________________ a (physician/psychologist) licensed to practice in the state of Texas, on (date CME/DMR signed) the nature of the Proposed Ward’s incapacity is that (he/she) suffers with (state diagnosis) and is (totally/partially) incapacitated. The Proposed Ward is unable to personally initiate, handle or make decisions concerning (his/her) food, clothing or shelter, or physical health or to manage (his/her) financial affairs due to (his/her) condition. The Proposed Ward does not have capacity to vote in a public election, be eligible to hold or obtain a license to operate a motor vehicle or make personal decisions regarding residence. Therefore, applicant requests the appointment of a guardian and the granting of the requested powers listed below.

SPECIFIC AREAS OF PROTECTION AND ASSISTANCE REQUESTED Applicant requests that the proposed guardian have full authority over the person of (name of Proposed Ward) including, but not limited to, the following rights and powers (name of Proposed Ward) is referred to as the “Ward” for the purposes of these powers): 1. The power to review, to take possession of and to consent to the disclosure of the Ward’s medical, dental and healthcare records.

2. The power to apply for, arrange for, and consent to any and all psychological, psychiatric, medical or healthcare examinations, tests, treatments or evaluations for the Ward, but not the power to consent to in-patient psychiatric commitment of the Ward.

3. The power to consent to or object to medical, dental and healthcare treatment for the Ward, including, but not limited to surgery, but not the power or authority to consent to a sterilization or abortion for the Ward.

4. The power to make decisions regarding the Ward’s residence, including, the power to make application for, to consent to, and to enroll the Ward in private and public residential care facilities, including twenty-four (24) hour care facilities or nursing home facilities.

5. The power to apply for and to secure an identification card, social security card or other identification documents for the Ward.

6. The power to apply for, consent to, and to enroll the Ward in appropriate educational, vocational and recreational services.

7. The power to apply for and to receive funds from governmental sources for the Ward, including, but not limited to, Social Security, Social Security Disability, Medicare, Supplemental Security Income benefits, Medicaid, HUD Section 8 rent subsidies and Veteran’s benefits.

8. The power to apply for and to consent to governmental services on the Ward’s behalf, including, but not limited to, food stamps, Medicaid and vocational rehabilitation programs.

9. The power to consent to the administration of psychoactive medications for the benefit of the Ward.

10. The power to sign a DO NOT RESUSCITATE ORDER on behalf of the Ward.

11. The power to transport the Ward to an inpatient mental health facility and file for emergency detention.

LIMITATION OF RIGHTS TO BE INCLUDED IN COURT’S ORDER

Applicant requests that the Proposed Ward’s rights be limited as follows: 1. (name of Proposed Ward) shall no longer have the right to operate a motor vehicle or hold or obtain a license to operate a motor vehicle under Chapter 521 of the Transportation Code.

2. (name of Proposed Ward) shall no longer have the right to vote in a public or private election.

3. (name of Proposed Ward) shall no longer have the right to make decisions involving (his/her) marital status.

4. (name of Proposed Ward) shall no longer have the right to make decisions or give consent concerning (his/her) medical, dental and healthcare treatment, tests, examinations or evaluations.

5. (name of Proposed Ward) shall no longer have the right to make gifts or real or personal property.

6. (name of Proposed Ward) shall no longer have the right to execute a power of attorney.

7. (name of Proposed Ward) shall no longer have the right to purchase, use, own or possess firearms.

8. (name of Proposed Ward) shall no longer have the right to enter into contracts.

9. (name of Proposed Ward) shall no longer have the right to make decisions regarding (his/her) residence.

10. (name of Proposed Ward) shall no longer have the right to personally seek employment, obtain government assistance or access government benefits or funds.

11. (name of Proposed Ward) shall no longer have the right to exercise the powers and authority over (his/her) person that are given to the guardian.

PRAYER WHEREFORE, Applicant requests that notice and citation of this Application be given as required by law; that a hearing on this Application be set; that an eligible and suitable person, who is best qualified to serve, be appointed Guardian of the Person of ________________ an adult; that the Court Order appointing the guardian be effective upon the appointed guardian taking the oath and giving a bond as required by law; that upon the guardian’s qualification, the Clerk of this Court shall issue Letters of Guardianship to the appointed guardian; that the Court appoint an attorney ad litem to represent __________________ and that the Court enter any other orders it deems necessary and just.

Respectfully submitted,

______________________________ Attorney Address SBN: Telephone Fax

STATE OF TEXAS COUNTY OF

§ § §

BEFORE ME, the undersigned authority, on this day personally appeared _______________, applicant in the foregoing Application for Appointment of Permanent Guardian of the Person and known to me to be the person whose name is subscribed to the above and foregoing application and stated under oath that such application contains a correct and complete statement of the facts and matters to which it relates and all the contents thereof are true, complete and correct to the best of applicant’s knowledge.

20

SWORN AND SUBSCRIBED TO BEFORE ME on this ____ day of ______________, .

______________________________ Notary Public, State of Texas

Cause No. _____ - ______________________ Guardianship of: ____________________________________________ Guardian of the Person and Estate: Court-Ordered Instructions Thank you for agreeing to accept appointment as the Guardian of the Person and Estate of a minor or incapacitated individual (the Ward). The Probate Court has chosen to entrust you with the responsibility of representing the interests of the Ward and managing the Ward’s assets.

As soon as you have qualified, you will be a “fiduciary” – someone who has a legal responsibility to act for the benefit of another. As a fiduciary, you are expected to act with the utmost care and in the best interests of the Ward, while also considering the interest of others who have a stake in or claim to the assets under your management. At times, this may mean acting in a manner contrary to your own interests. Because being a fiduciary gives rise to certain legal obligations and responsibilities that require legal expertise, Texas law requires that you continue to be represented by an attorney who will assist you in representing those for whom you are responsible.

Your activities as Guardian are governed by Texas law and the order appointing you Guardian. Before you engage in any transactions as Guardian, you must become familiar with the types of allowable actions you may take under the order and relevant law. These instructions will help you, but they are only a supplement to the information that has been or will be given to you by your attorney and are not a substitute for legal advice. Your attorney will help you understand what is required of you as Guardian of the person and estate. You should consult with your attorney – not the Court – if you have questions, although you may call the Court when you have a question about your Annual Report.

1. Before the hearing (for cases on the uncontested guardianship docket) or before you leave the Court after the hearing (for cases on the regular docket):  You must read these Court-Ordered Instructions and initial each of the 13 boxes in the margins to indicate you understand the italicized points made in the text to the right of each box.  You must sign these Court-Ordered Instructions before a notary. The original will be filed with the Clerk’s Office and put in the file; the Court will make a copy for you to keep and refer to as you serve as Guardian.  You must fill out your Initial Report on the Condition and Well-Being of the Ward.  You must fill out the Guardianship General Information form for the Court’s internal files.

2. Before you leave the Court after the hearing:  You must address an envelope to yourself, which the Court will use to send you a page you can attach to these instructions once the specific deadlines for your yearly reports are determined.  You must take and file your Oath – your signed and sworn (or affirmed) commitment to “discharge faithfully the duties of guardian.”  You must file your Initial Report on the Condition and Well-Being of the Ward.

3. You must file your bond within 20 days after the Court signs the order granting letters of guardianship.

Court-Ordered Instructions for Guardian of the Person and Estate

Page 1 of 9

Letters of Guardianship Your authority to act on the Ward’s behalf does not begin until you have qualified – which requires both that (1) you have taken your oath and (2) the Court has approved your bond. At that time, the clerk of the Court is authorized to issue letters of guardianship to you. These letters serve as evidence to third parties of your authority to act on the Ward’s behalf. Letters of Guardianship are not automatically sent when you have qualified; you need to request them from the Clerk’s office.

Letters of guardianship expire one year and four months after the date of issuance unless renewed. Letters can be renewed and reissued by the clerk of the Court after the Court approves both the guardian’s Annual Report of the Person and the guardian’s Annual Account. New Letters of Guardianship are not automatically sent when your Annual Report and Annual Account are approved. Contact the clerk’s office to order letters of guardianship (see previous paragraph).

Time-sensitive requirements after you qualify as Guardian of the person and estate  Texas law includes other key deadlines for guardians of the person and estate that are tied to the date you qualify to serve as Guardian. The date you qualify is the date when the Court approves your bond or when you take and file your oath, whichever is later.

1. Within 30 days of the date you qualify, your attorney, on your behalf, must file an Inventory, Appraisement, and List of Claims. Texas law requires your attorney to review and sign this inventory. The inventory should reflect the fair market values of the assets as of the date of your appointment and must be verified by your sworn or affirmed affidavit. This inventory must contain a complete list of all the real estate located within the State of Texas and must list all personal property, regardless of where it is located. Texas Estates Code Sections 1154.051-1154.052.1 If at any time during the administration of this estate you discover additional property, your attorney, on your behalf, must file a supplemental inventory reflecting the newly acquired assets. Estates Code Section 1154.101.

2. Within 30 days of the date you qualify, your attorney, on your behalf, must file an application requesting a monthly or annual allowance to be expended from guardianship funds for the education and maintenance of the Ward and the maintenance of the Ward’s property – unless an allowance was ordered at the time you were appointed Guardian or such an allowance is inappropriate. Note that even though the Court sets a monthly allowance, you still must account for all such expenditures in the Annual Account. See “Spending guardianship funds” on page 5. Make sure you keep receipts for all purchases. Please be aware that you may be required to reimburse the estate for any improper expenditure. See Estates Code Sections 1156.001-1156.004.

3. Within 180 days of the date you qualify, your attorney, on your behalf, must file a written application for approval of an investment plan for estate assets – unless you invest those funds according to the investment plan in Estates Code Section 1161.003 (see paragraph below). Your attorney will help you understand the options and take the appropriate steps.

As Guardian, you have an obligation under Estates Code Section 1161.001 to invest the ward’s assets that are not immediately necessary for the education, support, and maintenance of the ward or others the ward supports. You must invest as a prudent These instructions at times refer to specific sections of the Texas Estates Code, which is the place where statutes governing Texas guardianship law are collected. We realize that most guardians will choose to rely on their attorneys’ explanations of the statutes and the actions required by the statutes, rather than ever looking at the Estates Code – and that’s fine. But we have included some statutory references for those guardians who may sometimes want to look at the actual statutes. You can find a copy of the Estates Code at local law libraries, or online at http://www.statutes.capitol.texas.gov/.

1

Court-Ordered Instructions for Guardian of the Person and Estate

Page 2 of 9

person would. In general, you may not make any investment without prior Court approval. However, Section 1161.051 of the Estates Code allows a guardian to have estate assets invested according to Section 1161.003 of the Code without Court order.

Section 1161.003 allows “safe harbor” investments such as obligations issued by the United States, tax-supported bonds of the State of Texas or certain bonds of political subdivision of the State of Texas, and federally insured bank accounts.

4. Claims procedures. In Chapters 1153 and 1157, the Estates Code outlines time-sensitive requirements for various notices and other actions that are part of the statutory process for Claims Procedures. These Court-Ordered Instructions do not address any of these requirements. Your attorney will lead you through the statutory process for Claims Procedures.

5. EVERY YEAR within 60 days of the anniversary of the date of you qualified as Guardian, two pleadings must be filed: (1) you must file an Annual Report (“Report on the Condition and Well-Being of a Ward”), and (2) your attorney, on your behalf, must file a detailed Annual Account.

Failure to file either an Annual Report or an Annual Account may result in your removal as Guardian and may result in the assessment of fees against you individually and on your bond, and not from guardianship funds. See below and next pages for more information.

Annual Report (“Report on the Condition and Well-Being of a Ward”) Texas law requires you – as a Guardian of the Person – to file a report each year that covers a 12-month reporting period, with the reporting period beginning on the date you qualify to serve as Guardian. The date you qualify is the date when the Court approves your bond or when you take and file your oath, whichever is later. Texas law requires that your Annual Report be filed not later than 60 days after the reporting period ends. Once the date you qualify is determined, the Court will send you a page you can attach to these Court-ordered instructions, indicating the dates each year that your Annual Report must cover as well as the date each year by which you must file your sworn or affirmed Annual Report with the County Clerk’s Office.

• In your Annual Report, you must answer each of the questions on the Report form, including information concerning the Ward’s physical welfare, well-being, progress in education (if pertinent), and income. You also will note how many times you visited the Ward in person, and, when you sign the Report, you will declare under penalty of perjury that the Report is true and correct.

• In your Annual Report, you must swear or affirm either that you have paid your bond premium for the next reporting year or that you have filed an approved cash bond.

• You may complete and file your Annual Report without the assistance of an attorney.

But note that Texas law requires you to work with your attorney to prepare your Annual or Final Accounts. Annual Report forms (“Report on the Condition and Well-Being of a Ward”) are available at the Court’s office or on the Probate Court’s website.

If you have questions about the Annual Report, please call the Guardianship Legal Assistant at ________________.

• Texas law requires a $25.00 fee for the processing of each Annual Report to determine whether the guardianship continues to be appropriate, unless an affidavit of inability to pay costs is on file.

Court-Ordered Instructions for Guardian of the Person and Estate

Page 3 of 9

Annual Account Each year within 60 days of the anniversary of the date you qualified as Guardian, your attorney, on your behalf, must file a detailed Annual Account, attaching an affidavit in which you swear or affirm that the Annual Account is true and correct. Texas law requires that your attorney must review and sign this accounting. Your attorney will need to get information from you for the Annual Account before the indicated deadline for filing the Annual Account. You will need to consult with your attorney about what needs to be done for the Annual Account and when it needs to be done. Failure to file an Annual Account may result in your removal as Guardian and may result in the assessment of fees against you individually and on your bond, and not against the guardianship estate.  As part of your Annual Account, you must swear or affirm that you have paid your bond premium for the next accounting period.  As part of your Annual Account, you must swear or affirm that you have filed all tax returns and paid all taxes due, with the date, amount paid, and name of the Governmental entity to whom the taxes were paid.  If you handle cash assets, the Annual Account must show all receipts and disbursements that have occurred in the estate during the year. You must show the status of all claims pending against the estate and the nature and extent of all property currently being administered by you.  Any cash or securities in your possession or held by any bank or depository must be verified by an appropriate letter or certificate. The bank statement dated on the ending date of the accounting period will suffice for bank accounts.  If you receive Social Security benefits on the Ward’s behalf, you must attach to your Annual Account a copy of the most recent Representative Payee Report you filed with the Social Security Administration (SSA), accounting for your use of those funds. (A report to SSA is required annually.)

In your role as Guardian of the Estate 1. General powers and duties. As Guardian of the Estate, you must always act in good faith and in the Ward’s best interests. Your powers and duties are set out in the order appointing you Guardian.

If you are granted full powers, or the authority to manage assets, it is your duty to take possession of all property belonging to the Ward once you have qualified – but do not act until you have qualified.

A guardian of the estate is entitled to possess and manage all property belonging to the ward; to collect all debts, rentals, or claims that are due to the ward; to enforce all obligations that are due to the ward; and to bring and defend suits by or against the ward. Estates Code Sections 1151.101 and 1151.151-1151.155.

2. Previously existing powers of attorney. Any durable powers of attorney previously executed by the Ward terminate as soon as you have qualified as Guardian of the estate. If the Ward had executed powers of attorney, talk to your attorney about what’s required of the attorney in fact or agent under Estates Code Section 751.052.

Court-Ordered Instructions for Guardian of the Person and Estate

Page 4 of 9

3. Accounts for guardianship funds. Place all guardianship funds in one or more separate accounts in the name of the guardianship – for example, “Jane Doe, as guardian of the estate of John Doe” – separate from your personal funds. Do not commingle the funds of the guardianship estate with your personal funds. Retain in a checking account only such funds as are reasonably necessary for the current support and maintenance of the Ward. Place all additional funds in interest-bearing accounts at the highest interest rate then available, unless you have an approved Investment Plan that allows another investment. Make sure all bank accounts are fully insured and do not exceed the FDIC insurance limits.

4. Spending guardianship funds.

A. Spending guardianship funds under a Court-ordered allowance. If you have a Courtordered allowance, you do not need to get further Court approval before spending those funds for the purposes that were approved in the Court order. But note the following:  Funds that are part of a Court-approved allowance may be spent only for the purposes approved in the Court order setting up the allowance.  Although the Court sets a monthly allowance, you still must account for all such expenditures in the Annual Account, and you must keep receipts from all purchases. One exception: In the rare cases when the Court specifically orders a cash allowance for the Ward, you need not account for or keep receipts from the Ward’s purchases from the cash allowance.  The Court does not allow case-management fees to be included as part of an allowance.

Those fees must always be approved separately.

B. Spending other guardianship funds. Consult your attorney about the very few instances when the law allows an expenditure without Court order. For example, you may pay your bond, pay some insurance, and pay some taxes without a Court order. For everything else:  If a particular expense was not approved in the Court order setting up an allowance, you cannot pay for that expense without first obtaining, through your attorney, a written order of this Court authorizing the expenditure(s).  Regardless of purpose, never spend any guardianship funds in excess of your allowance unless you first obtain, through your attorney, a written order of this Court authorizing the expenditure(s).

C. Spending ANY guardianship funds. You may be subject to removal and held personally liable for any unapproved expenditures if you either (1) spend an allowance for purposes not approved in the Court order setting up the allowance or (2) spend other funds without Court approval.

If necessary, cases may be referred to the District Attorney for prosecution.

5. Non-cash assets (real or personal property). Preserve, protect, and insure (if insurable) all non-cash assets of this guardianship.  Your attorney, on your behalf, must obtain a written order of this Court before you attempt to sell, transfer, lease for more than one year, abandon, or otherwise dispose of any non-cash asset of this guardianship.  All personal property of the ward in the State of Texas should remain in Texas unless prior Court approval is obtained.

Court-Ordered Instructions for Guardian of the Person and Estate

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6. Recordkeeping. Maintain an accurate and detailed record of all guardianship income and all expenditures of guardianship funds. Keep and organize all bank records and all receipts. You will need all of this information for your Annual Account. Some important specifics:  Cash withdrawals of guardianships funds are prohibited, except in the rare cases when a court-ordered allowance specifically allows for the Ward to have a cash allowance.  Keep and maintain receipts for every purchase.  Guardianship expenses should be paid for with guardianship funds.  To be reimbursed for paying a guardianship expense, you must get the Court’s permission – but reimbursements are discouraged. Reimbursements will never be approved without receipts.

7. Parents who are guardians of the estate of their minor child. Note that the natural parents of a minor are obligated to support that child with their own funds, and they may not spend any guardianship funds – corpus or income – without a Court order. If you, as parent and Guardian, can satisfy the Court by clear and convincing evidence that you are unable to support your child or children without unreasonable hardship, you may be allowed to expend funds of the estate for the ward’s benefit. But no funds may be expended without prior Court approval, and a hearing usually will be necessary. See Estates Code Section 1156.051.

In your role as Guardian of the Person 1. General powers and duties. The order appointing you as Guardian of the Person and Estate specifies whether you have been appointed as guardian of the person with limited authority or guardian of the person with full authority. Guardians of the person with limited authority have only those powers specifically set forth in the order appointing them. Under Texas law, a guardian of the person with full authority has the rights and duties set out below:  The right to have physical possession of the ward and to establish the ward’s legal domicile.  The duty to provide care, supervision, and protection for the ward.  The duty to provide the ward with clothing, food, medical care, and shelter as completely as the Ward’s resources permit.  The power to consent to medical, psychiatric, and surgical treatment other than the in-patient psychiatric commitment of the ward. (But the guardian of the person of a ward does have the power to transport the ward to an inpatient mental health facility for a preliminary examination in accordance with Subchapters A and C, Chapter 573, Health and Safety Code.)  If the Ward is an adult, the duty to inform the Ward’s spouse, parents, children, and siblings as soon as possible if:  the Ward dies;   

the Ward is admitted to a medical facility for acute care for three days or more; the Ward has moved; or the Ward is staying at a location other than his or her own residence for more than one week.

 The duty to provide notice to the Ward in the Ward’s native language, or preferred mode of communication, each time you file your Annual Report that you are seeking to continue the guardianship.

2. Previously existing medical powers of attorney. When appointing a guardian of the person, it is the usual practice of this Court to revoke all known and unknown medical powers of attorney Court-Ordered Instructions for Guardian of the Person and Estate

Page 6 of 9

previously executed by the Ward. There are some exceptions, which will always be indicated in the Order appointing the guardian of the person.

3. Working with Court Visitors. Six months after your appointment as guardian, our Guardianship Coordinator will meet with you and the Ward to discuss how the guardianship is going and to answer any questions you may have. In addition, a Court Visitor will visit the Ward approximately once a year to assess the Ward’s physical condition and living conditions.

General information 1. Change of address. You must notify your attorney of any change in the mailing address of either you or the Ward, and your attorney should notify the Court. You may not move to another state or be absent from this state for more than three months without Court permission. If the Ward moves from this County, consult with your attorney about whether the guardianship should be transferred.

2. Moving the Ward to a more-restrictive care facility? You may not move the Ward into a more restrictive care facility until you provide notice to the Court, the Ward, and any person who has requested notice, and only after seven business days following the Court’s receipt of the notice. If nobody has objected to the proposed move, then you may move the Ward.

3. Consult with your attorney. Consult with your attorney on any matter regarding this guardianship that you do not understand. Failure to follow any of the statutory procedures may lead to your removal as Guardian, and you may be held personally liable.

4. All pleadings are available on the Clerk’s website, http:. Click on the “Probate” tab and then on the “Locate a Document” link. Then click on the “Search Online Probate Case Data and Documents” link and follow the instructions for entering either the Ward’s name or the cause number. If you use the cause number, you must enter the entire cause number. After clicking “submit,” click on the underlined cause number to see a list of pleadings – which you can access by clicking on the “Document Event” link.

When the guardianship is ready to be closed A guardianship is ready to be closed:  when the Ward regains competency;  when the Ward dies; or  when the Ward reaches 18 years of age, for guardianships based solely on minority.

A guardianship of the estate may also be closed when the Ward’s funds become exhausted, when the income is negligible, or when the Court determines a guardianship is no longer necessary.

To close a guardianship of the person and estate, you will need to file both a Final Report (with death certificate attached, if applicable) and a Final Account. If the Ward has regained competency, you will also need an application seeking to have the Ward declared competent (with a sufficient medical certificate), along with a hearing and a Court order regarding competency.

Final Account: To close the guardianship of an estate, your attorney, on your behalf, must file a Final Account. See Estates Code Sections 1204.101-1204.109. Texas law requires that your attorney must review and sign this accounting. The Final Account must show all property that has come into your hands since the last Annual Account, as well as the disposition that has been made of any such property.

The Final Account must show the debts that you have paid since the last Annual Account and any debts that remain outstanding, as well as the reason for their non-payment. If any property remains in your possession, it should be fully reported and verified in the same manner as for annual accounts.

Court-Ordered Instructions for Guardian of the Person and Estate

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After the Court has audited the Final Account and signed an order approving it, the Court will order that any remaining assets be delivered to whomever the Court has determined is legally entitled to the assets.

You will need to obtain receipts, because once this delivery has been completed, receipts signed by each person who received the property must be filed with the Court. After all the property has been accounted for and the receipts of delivery approved, the Court will sign an order closing the guardianship and relieving you of any future responsibility in connection with the guardianship. Estates Code Sections 1204.151-1204.152. The closing process for a guardianship of the estate is very complicated and specifically detailed by Texas law, and you should seek the advice of your attorney during all steps of the process.

Court-Ordered Instructions for Guardian of the Person and Estate

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Cause No. C-1-PB - _____ - ______________________ Guardianship of: ____________________________________________ I swear or affirm that I have read the preceding seven pages of this document (entitled Guardian of the Person and Estate: Court-Ordered Instructions) and that I understand its contents.

By my initials in the 13 boxes in the margins of this document, I specifically affirm that I understand the italicized points made in the text to the right of each of the boxes.

_________________________________________________ Signature of person who has been or seeks to be appointed Guardian or Co-Guardian

STATE OF TEXAS COUNTY OF _______

___________________________ Date

)( )( )(

This instrument was sworn or affirmed before me on _____________________________________ by _____________________________________________________________________________.

Notary Public, State of Texas Notary’s Name Printed:

My commission expires

By my signature, I – the attorney for the person who has been or is seeking to be appointed guardian or co-guardian – certify that I have discussed with my client(s) the responsibilities of a guardian of the estate.

Attorney: __________________________________ (signature) State Bar of Texas No. _______________________

Court-Ordered Instructions for Guardian of the Person and Estate

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Your Duties as Guardian of the Person #1: Be the Ward’s Advocate You are often required to speak on behalf of your Ward. You should protect your Ward by:  Meeting the Ward’s Needs. Make all final decisions for the Ward in residential, medical, and other

matters. (As a Guardian, you cannot place the Ward in an in-patient psychiatric hospital.) By statute, you have a duty to provide care, supervision, and protection for your Ward and to provide your Ward with clothing, food, medical care, and shelter as completely as the Ward’s resources permit.  Visiting Regularly. The Court expects guardians to visit their wards at least once a month.

#2: Submit Annual Report * The Guardian of the Person’s Annual Report reports the Ward’s condition to the Court.

When completing the report, remember:  The Annual Report is required by law.  Failure to file this report can result in your

removal as Guardian.  Provide as many details as possible,

using the form provided by the Court.  Complete, sign under penalty of

perjury, and mail to County Clerk’s Office. Address is on the form.

Annually

#3: Cooperate with the Court Visitor The Court’s goal is to have a Court Visitor visit the Ward once a year to assess the Ward’s physical condition & living conditions. The Ward may be visited more or less frequently.  The Court Visitor will want to speak

with the Guardian, too.  If you can’t meet with the Court Visitor

during the Court visit, the Court Visitor will attempt to contact you by phone.

 Texas law requires a $25.00 fee for the processing of each Annual Report to determine whether the Guardianship continues to be appropriate, unless an affidavit of inability to pay costs is on file.

#5: Submit Final Report * #4: Report Address Change

A Final Report must be filed:

The Court needs the current address and phone number for the Ward & the Guardian.

 when the Ward dies (include a copy of

If the you or the Ward moves, call the Court at ********* to report the address change, or mail the information to

 when a minor Ward turns 18 years old;

You cannot move the ward into a more restrictive care facility unless you first give at least 7 business days’ notice to the Court except in case of emergency.

You may not move to another state or be absent from this state for more than three months without Court permission. If the Ward moves from this County, consult with the Court about whether the guardianship should be transferred.

the death certificate);  if the Court accepts your resignation as

Guardian.

Complete, sign under penalty of perjury, and mail a Final Report to the Travis County Clerk’s Office. The address is on the Report form. Use the same Courtprovided form as for the Annual Report, but check the “Final” Report box near the top of the first page.

* You may complete and file your Annual or Final Report without the assistance of an attorney. Forms for your Annual or Final Report of the Person are available on the Court’s website, https://www. or at the Court’s office. If you have questions, call the Guardianship Legal Assistant at ***********. If you are also Guardian of the Estate, note that Texas law requires that you work with your attorney to prepare your Annual or Final Accounts.

09/1/2015

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Representation of Mentally Impaired Clients: An Ethical Issue [1]Features [2]Floyd L. Jennings Tuesday, June 4th, 2019

[3]

Scenario Consider the following scenario, which is all too common: A defendant is arrested and is obviously mentally ill upon arrest, as well as having a long mental health history. The person is housed in a mental health unit within the jail and tells you, as counsel, ?I don?t want to go to no hospital.?

However, you fear that he will not be able to get through a plea agreement. And, even if the defendant is charged with a misdemeanor and not a felony, you know that at the very least it will require 30 days to obtain a competency evaluation?if not longer. As well, were the defendant found incompetent the person would languish for 3 months awaiting space in a competency restoration program, which itself would last another 60 days, at best. Thus, even with a misdemeanor matter, be it a Class B or Class A, the likelihood is that the person will remain longer in custody?because he or she is mentally ill?than would have occurred had mental illness not been a factor, or had been brought to the attention of the court and the person pled out.1 Moreover, the foregoing in-custody period is exacerbated by the shortage of space in restoration programs.

What do you do?

Overview Representing mentally impaired clients inherently creates a conflict between the expressed desires of the client and activity by counsel in the best interest of the client. Herein, I will explicate this conflict and proffer at least one solution to the dilemma: ?Do I act solely as my client wishes, or do I try to find an outcome which is in his/her best interest, even if the client is opposed?? And, if so, under what conditions?

Duty of Counsel Tex. Disciplinary Rules Prof?l Conduct R. 1.02 plainly states: (a) Subject to paragraphs (b), (c), (d) and (e), (f), and (g), a lawyer shall abide by a client?s decisions: (1) concerning the objective and general methods of representation; (2) whether to accept an offer of settlement of a matter, except as otherwise authorized by law; (3) in a criminal case, after consultation with the law-yer, as to a plea to be entered, whether to waive jury trial, and whether the client will testify.

The necessity for zealous representation, respecting the client?s wishes, is not a laudable goal to which only lip service is given, but the very essence of justice. The presupposition, however, is that the client is not legally incapacitated?either in the civil sense, which would require appointment of a guardian,2 nor in the sense of being incompetent to stand trial. See Koehler v. State, 830 S.W.2d 665 (Tex. App.?San Antonio 1992), for a discussion of the differences between incompetence in a criminal proceeding and incapacity in the civil sense.

The aforementioned scenario captures the heart of the conflict. Examine, however, the comment to Rule 1.02(12), which states that the lawyer is legally authorized to represent the client and such is ?established and maintained by consenting adults who possess the legal capacity to agree to the relationship.?3 That section, however, does not address the circumstance of the person who has legal capacity in the civil sense, but is believed, and later opined and found, to be incompetent to stand trial in a criminal proceeding, inasmuch as the person is lacking either a rational and/or factual knowledge of the proceedings against them?or is unable to relate to their attorney with a reasonable degree of rational understanding.4 The Disciplinary Rules, however, contain a requirement that counsel always demonstrate attention and respect, even to the most disabled client. See Rule 1.03(5).

When a lawyer reasonably believes a client suffers a mental disability or is not legally competent, it may not be possible to maintain the usual attorney-client relationship. Nevertheless, the client may have the ability to understand, deliberate upon, and reach conclusions about some matters affecting the client?s own well-being. Furthermore, to an increasing extent, the law recognizes intermediate degrees of competence. . . .The fact that a client suffers a disability does not diminish the desirability of treating the client with attention and respect.

Counsel?s duty regarding disclosure of information that is confidential and may be privileged concerning the defendant?s mental state is admittedly not discussed in the Disciplinary Rules. Such information may well include the defendant?s desire to avoid treatment, though such would but perpetuate the defendant?s disturbed behavior and place the defendant in a position where he or she would be harmed by others, if not themselves. However, by analogy, just as counsel would be obliged to disclose to the court information appertaining to the defendant?s plan to commit a crime, harm others or even self, the Rules cite Rule 5.03(d)(1), Tex. R. Evidence, ?indicate the underlying public policy of furnishing no protection to client information where the client seeks or uses the dictates of lawyer to aid in the commission of a crime or fraud.? So, similarly, no protection should exist for information disclosed in the interest of protecting the defendant from himself or herself, or others.

Related, though more narrowly focused, is the circumstance in which counsel has reason to believe that introduction of the client?s history of mental illness is the only viable defense, but the client objects to any suggestion he is mentally ill. Such was the case in the Kaczynski case.5 In that case, the 9th Circuit ultimately held that the trial court acted properly, though the defendant had argued that in exchange for the United States renouncing its intention to seek the death penalty, his guilty plea was involuntary because his counsel insisted on presenting evidence of his mental condition, contrary to his wishes, and the court denied his Faretta request to represent himself. The 9th Circuit also held that a criminal defendant in a capital case has no constitutional right to prevent his appointed defense counsel from presenting evidence in support of an impaired mental state defense at trial.

The Kaczynski case should put to rest the notion that defense counsel could be censured for introducing to the court any evidence of the defendant?s mental state in connection with the offense. To be sure, an insanity defense would require the consent of the defendant to go forward, though such is also predicated on the fact that at the time of trial the defendant is also competent. In that regard, note that it would be impossible to engage a defendant in his/her thinking at the time of the act with which charged unless the person is both competent and consenting. Nonetheless, Ross6 is quite correct that ?no ethical code or rule dictates which course a criminal must take when a client, her judgment apparently clouded by mental illness, resists following counsel?s advice. This is one of those cases that is at the margins of ?ethical decisionmaking.??

But even speaking more narrowly as to the issue of competence, I am inclined to argue that counsel?s role should be tightly circumscribed, such that even if a decision arose when the court?s attention were to be called to the defendant?s history of mental illness and current mental state, counsel could rely upon information readily available to all parties?e.g., jail mental health screening, history of any jail-based mental health services, and general references to inability to relate to the defendant or the defendant?s obvious behavior, such as inattention to personal hygiene, disturbances created in hold-over prior to appearing before the court, as well as any utterances by the defendant to the court that are patently strange, if not bizarre (any of which would constitute that modicum of information necessary to trigger an informal inquiry, and likely competency evaluation).7 In the foregoing illustration, counsel?s duty is met without necessity for abrogation of any otherwise privileged information. The next element related to duty, of course, is to carefully read the examination provided by the court-appointed examiner?as examiners may not always follow the exact language of Tex. Code Crim. Proc. art. 46B.024 and .025 viz. the content of competency examinations. An opinion of incompetency, and finding of same, will trigger a mandatory competency restoration commitment?to

outpatient services if the person can be safely treated on an outpatient basis (and such is available), otherwise to a jail-based program (again if available, and only to an inpatient restoration program if other options are not available or if the examiner recommends such).8 Discussion of the Ethical Dilemma When counsel acts in a fashion as described earlier, with the full knowledge that the defendant harbors quite different wishes, then counsel is exercising what in health law or probate settings is called ?substituted judgment,? as counsel is substituting his/her judgement for that of the client?i.e. surrogate decision-making.

And thus, inherently, counsel is acting in manner that diminishes the client?s autonomy.9 Ross speaks eloquently of the weight of such a decision and argues convincingly, I believe, of the necessity to limit the scope thereof. She says, ?At a minimum, criminal defense lawyers should reserve surrogate decision-making for those occasions when a mentally ill client?s best interests outweigh the client?s right to autonomous decision-making.?

This means looking long term at therapeutic interests as having greater weight to establish autonomy and functioning?even if hospitalization for restoration is required, and even if that hospitalization results in a somewhat longer period of ?confinement? (to the extent that hospitalization is considered ?confinement?) than might occur were the defendant to take a plea, with such supports by counsel and preparation as would make it possible for the person to get through a plea agreement with any degree of rational understanding.

To do otherwise is to argue that society has no parens patriae duty to provide treatment services to persons sorely in need of same, though the parents patriae doctrine has long been the basis of involuntary or courtordered mental health services, going back to the time of Edward I in the 13th century.10 Like marriage, decisions to exercise substitute judgment by counsel ?are not to be entered into unadvisedly . . . but discreetly.? And, perhaps, as well, with a certain degree of humility based on the fact that in any particular case, counsel may well be wrong?practically speaking, though not unethical.

I would further argue that in addition to duties to the mentally disturbed client, counsel has a duty to the court. That duty is part of the constitutional protections provided to defend, and so that failure to disclose that a defendant has not the requisite mental state to be able to participate in the proceedings, knowledge of same, or capacity to relate to counsel would constitute a constitutional violation and a fundamental breach of counsel?s duty to the client, including the duty of ethical and zealous representation. Moreover, when counsel raises the issue, then there is an opportunity for that entity which is legally authorized to evaluate the defendant?s state of mind to offer an opinion?providing another set of eyes who see the defendant from a professional perspective. Evaluation of defendants for whom there is some evidence of incompetency constitutes another set of protections for the rights of the person.

Conclusions The upshot of the foregoing is that raising the issue of a defendant?s possible incompetency is proper, affords constitutional protections to the defendant, honors the legal process, and, in fact, is part and parcel of the duty of zealous representation and satisfies counsel?s duty to the court as well. However, any disclosures should be circumscribed and limited insofar as possible to asking the court to take notice of behaviors exhibited by the defendant which are readily available to all parties. Moreover, exercise of substituted judgment does diminish, to a greater or lesser extent, the autonomy of the defendant but is in the defendant?s best interests.

Endnotes 1. Torrey, E. F., Steiber J., Exekiel, J., et al. Criminalizing the Seriously Mentally Ill: The Abuse of Jails as Mental Hospitals. Washington, DC: Public Citizen?s Health Research Group, 1992. See also Teplin L.

Criminalizing mental disorder: the comparative arrest rate of the mentally ill. Am Psychol 39:794?803, 1984 23.

2. Tex. Disciplinary Rules Prof?l Conduct R. 1.02(12) and (13).

3. Ibid., 1.02(12) 4. Tex. Code Crim. Proc. art. 46B.003 5. United States v. Kaczynski, 239 F3d 1108 (9th Cir. 2001) cert. denied 535 U.S. 993 (2002). See also Ross, Josephine (1998). Autonomy vs. a Client?s Best Interests: The Defense Lawyer?s Dilemma When Mentally Ill Clients Seek to Control Their Own Defense. 35 Am. Crim. Law Rev. (1997?1998).

6. Ibid., Ross at 1345.

7. Tex. Code Crim. Proc. art. 46B.004 would allow the issue of competency to be raised by either party, and only a ?suggestion? of incompetency which means ?a representation of incompetency from any credible source? would trigger an informal inquiry by the court. In contrast to an earlier period ?the court is not required to have a bona fide doubt as to the competency of the defendant in order to order an examination.?

8. Ibid., art. 46B.071 9. Op. cit. Ross at 1345.

10. See discussion by Custer, Lawrence B. (1978) The Origins of the Parens Patriae Doctrine. 27 Emory L. J. (1978) . © Copyright by Texas Criminal Defense Lawyers Association Web hosting and design by ChiliPepperWeb.net Source URL: http://archive.voiceforthedefenseonline.com/story/representation-mentally-impaired-clientsethical-issue Links: [1] http://archive.voiceforthedefenseonline.com/channel/1/stories [2] http://archive.voiceforthedefenseonline.com/source/floyd-l-jennings [3] http://archive.voiceforthedefenseonline.com/image/representation-mentally-impaired-clients-ethical-issue

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Representing the Mentally Ill on the Road to Recovery and Victory [1]Features [2]Micah Belden Tuesday, April 30th, 2019

[3] Why must we learn mental illness? Because we represent the citizen (and non-citizen) accused of crime.

Consequently, we often represent the mentally ill, the addicted, the intellectually disabled, and the mentally impaired. Statistics show a supermajority of our clients have never finished high school, for whatever reason. Many have an underlying mental illness impairing their ability to conform their behavior to the law or the classroom. Often, this impairment comes paired with a substance abuse disorder.

This practice area is filled with tough mental health and intellectual disability cases and presents the practitioner with extraordinary responsibility. To best serve these special clients, the law and facts demand we be well-versed about the intersection of criminal law and mental health. Our state legislators found these issues important enough to write many statutes?so we need to find it important enough to read them. As

Gerry Spence taught, ?It all begins with YOU.? Are you ready to practice law on another level, particularly felony criminal defense? If so, thank you for your work and for considering this article. I hope you find it helpful.

The reality of the law enforcement model is that police officers search for low-hanging fruit. As a result, the mentally ill and intellectually deficient walk, or drive, themselves into the law enforcement trap more often than high-functioning men and women. High-functioning people are less likely to commit crimes and are more likely to avoid detection. Most importantly, people with mental illness ?self-medicate? with addicting drugs so they can feel ?better? or ?normal.? They are typically in denial of their mental health and substance abuse problems. Drugs alter behavior and lead to crime. A person?s drug abuse history, whether medical or criminal, is a clue there might be a mental illness problem afoot. Over sixty percent of all drug addicts have an underlying mental illness fueling their addiction.1 My trusted licensed chemical dependency expert firmly believes there is always an underlying personal trauma driving a substance abuse disorder.

No one wants to be known as someone with serious mental illness or a drug addiction. These are not only disabilities but social and personal stigmas. And denial is not just a river in Egypt, as they say, but a primary state-of-mind for the untreated mentally ill and the addicts. The burden is on the defense attorney to discern what mental illness or impairment the client may have now, how it may help their defense, and how defending their case may get them on the path to recovery?both in the mental health and accompanying addiction sphere. This attention to detail will also reduce the elevated risk of an ineffective assistance of counsel finding in these types of cases. By being the client?s knight in shining armor, and by getting them on a path to recovery and victory, the defense lawyer checks off most of the boxes in a true investigation of the case.

Courts of Appeals Are Finding Lawyers Ineffective for Failing to Investigate Mental Health and Mental Impairment Representing the mentally ill is a large part of a full-time criminal defense practice and has become the primary focus of many felony punishment cases. I gravitated toward this practice area after a lifetime of familial interaction with bipolar disorder, major depressive disorder, and some substance use issues. And capital murder cases, where the law of effective assistance of counsel progresses most quickly, have transformed ?future dangerousness? defenses into ?mitigation? as the primary punishment issue. Why do we spare their life? Why do we let them remain in society?

Some attorneys avoid putting on mental health evidence, fearing it may backfire with some juries. That?s a decision to make, but only after a full investigation, as mental health mitigation and investigation is a primary focus of motions for appeals and post-conviction writs alleging ineffective assistance for failure to investigate punishment evidence. See Porter v. McCollum, 558 U.S. 30 (2009) (finding defense counsel?s failure to uncover and present punishment evidence regarding defendant?s mental health, family background, or military service ineffective). These claims come as quickly as a motion for new trial filed by a savvy appellate lawyer and may drag on for years through the writ process. Therefore, the defense practitioner must make a competent mental health investigation to either: 1) rule it out as an issue, or 2) make a reasonable judgment about whether to include it as part of the defense case.

One cannot strategically fail to investigate the client?s mental health history. But one can strategically not utilize the evidence after a proper investigation. ?Under Strickland, an attorney has the duty ?to make reasonable investigations or to make a reasonable decision that makes particular investigations unnecessary.?? Conrad v. State, 77 S.W. 3d 424, 426 (Tex.App.?Fort Worth 2002, pet. ref?d) (quoting Strickland, 466 U.S. 668, 691 (1984)). ?[S]trategic choices made after thorough investigation of law and facts relevant to plausible options are virtually unchallengeable.? Wiggins v. Smith, 539 U.S. 510, 521 (2003) (quoting Strickland, 466 U.S. at 690) (failure to uncover and present Defendant?s history of sexual abuse at punishment was ineffective assistance). ?Failure to uncover and present mitigating evidence

?cannot be justified as a tactical decision when defense counsel has not conducted a thorough investigation of the defendant?s background.?? Lampkin v. State, 470 S.W.3d 876, 913 (Tex.App.?Texarkana 2015, pet. ref?d) (quoting Shanklin v. State, 190 S.W.3d 154, 164 (Tex.App.?Houston [1st Dist.] 2005, pet. dism?d)).

Consequently, by completing a full mental health investigation, the punishment case becomes both much more effective to present and very less subject to later challenge. As David Botsford warned, ?The client of today is the enemy of tomorrow.?

If you rely on court appointments for a living or extra income, an ineffective finding can cut off your ability to accept court appointments for a year under your county?s Indigent Defense Plan (and longer if the judge presiding blocks you indefinitely). You can be prevented from appointment as lead counsel on capital trials, appeals, or writs. Tex. Code Crim. Pro 11.071, 26.052. You can also lose your board certification. So don?t risk your livelihood, key sources of income, and especially your client?s well-being by being pressured into a quick plea when there are evidence-based concerns about their mental health or intellectual disability.

How to Efficiently Investigate a Client?s Mental Health History Step 1?Ask the Client The first task in the investigation is not rocket science. Ask the client whether they have a history of mental illness and what medication, if any, they take. This is important to ask in the first interview, along with whether they have an addiction or any military veteran status. Mental health court, drug court, or veteran?s court are options that may be the easiest road to recovery in your county.

Persons accused of crimes are often under-educated and under-medicated, so to speak. They may also be traumatized by their arrest and incarceration. They may not remember all their mental health diagnoses from childhood, or they may simply not disclose it despite being in their best interest. Nonetheless, at the first client interview you may often notice mental illness if you converse long enough. Prolong the interview if you observe racing or very slow speech or other abnormalities suggesting mental impairment. The longer you talk with the client, the more likely you will see or hear something needing further investigation.

A lengthy interview is also important since many people suffering from a mental illness (everything from minor depression to schizophrenia) have learned to adapt their behavior to hide and minimize their disorder.

A person with mental illness is still looked down upon in our society. If you represent an adult defendant, they?ve spent much of their developmental life working around, over, and through their disorder. Often, they will do whatever it takes to mask it from you and the general public. They just want to be ?normal,? too.

It?s great when a client volunteers they have a diagnosable mental illness. But more often it?s your detective work that picks up on it, or at least on the clues. How does the client look? Bad hygiene or disheveled appearance? Even blank/distant/empty stares or affect can be clues. How do they speak? Rapid or slow speech can be clues, as well. How is their thought pattern? A disjointed thought cycle is a clue. How does interacting with them feel to you? Personality put-offs, weird vibes, and sad feelings can be clues. What behavioral history can you observe from their criminal history? A long line of addiction-related or violent crimes may be red flags for mental illness or substance abuse disorders.

First interview clues are convenient, but you must regularly visit at length with the client to understand them well. Ask them if they have a history of mental illness and ask what doctors they?ve seen, since getting their records under HIPPA or subpoena is the next important step. By the way, criminal subpoenas, including those from the defense, are not protected by HIPPA and do not need a special court order. Some offices request a HIPPA release out of an abundance of caution. I provide it if the client is competent to sign one.

Sometimes you learn about the client the easy way, but other times you must really dig. Surprising is how many head trauma cases are out there. Look for them. Ask your clients if they have a history of head trauma.

What car accidents have they experienced? Have they fallen on their head or suffered a concussion? Football is still king in Texas, along with Bob Wills.

The client is your most accessible punishment witness. I usually call the client at punishment, especially if they did not testify at guilt-innocence. The judge or jury may want to hear what they have to say and may want to make a connection at some point during the trial. As John Hunter Smith once noted, punishment is an ?all cards on the table? setting. And even though there?s usually a bad card or two with mental illness and substance abuse, consider playing the entire hand. Get the client accustomed to your potential questions and cross-examination. Lastly, aggravated cases may be the most appropriate times for your client to apologize, and that?s hard to do without testifying. The value of their apology should never be under-estimated!

Step 2?Ask the Client?s Family and Friends Equally important, it?s essential to speak with the client?s family to get a better understanding of their entire family. Defense lawyers may dread receiving repeated phone calls from family members and friends of inmates, usually asking the same questions over and over. However, avoid isolating oneself from the client?s family. They may well be a goldmine of information critical to your pre-trial mental health investigation.

If the client?s family acts ?crazy? towards you, that?s a BIG CLUE to dig deeper into your client?s mental health, family history, and addiction patterns. It?s also a big tell of the pressure cooker within which your client may live and helps you find the ?enabler? in their life, if one exists. In an addiction situation, the enabler may need intervention and counseling, too. And the sign of a good in-patient drug counseling center is the availability of family counselors. Enablers must be taught to draw boundaries. Moreover, the client?s primary influencer can be best at getting them to accept a ?no brainer? plea deal, if offered.

Personally, I still answer my primary office calls using my iPhone. I want to speak with everyone who can be somewhat civil, and it helps me learn quickly the most about my clients. In my experience, the client?s mother or father is the one who remembers best the client?s medical or mental history, medicine and doctors? names. These medical records are key to corroborating their mental illness and life story since the State?s primary rebuttal argument is malingering, he hasn?t sought help timely, or ?everyone is bipolar these days.? Obtaining these records proves your client?s story, and jurors love to read these records in a punishment case.

Family members and friends are the best sources of material regarding the client?s background. How did they do in school? Ask momma. How did they behave growing up? Ask momma. Did they have special needs in school? Ask momma. Did you ever take them to a psychiatrist or counselor? Ask momma. Of course, daddy may also know, and I?m not trying to be biased. But often our clients are in orange jumpsuits because daddy or momma or both daddy and momma just weren?t around. Lack of parenting leads to a high risk of behavioral problems and a higher risk of landing in county jail. Your client?s mitigation case may be begging for this discovery, so talk to the family and it will reveal itself ninety percent of the time.

This is not the end of your mental health mitigation case, but it?s the end of the beginning?and it must be done.

Notes:

1. [4]https://www.promisesbehavioralhealth.com/dual-diagnosis . © Copyright by Texas Criminal Defense Lawyers Association Web hosting and design by ChiliPepperWeb.net Source URL: http://archive.voiceforthedefenseonline.com/story/representing-mentally-ill-road-recoveryand-victory

Links: [1] http://archive.voiceforthedefenseonline.com/channel/1/stories [2] http://archive.voiceforthedefenseonline.com/source/micah-belden [3] http://archive.voiceforthedefenseonline.com/image/representing-mentally-ill-road-recovery-and-victory [4] https://www.promisesbehavioralhealth.com/dual-diagnosis

Office of Court Administration Current through 9/1/2017

Screening/Assessment for Arrested Defendant with MI/ID Sheriff/Jailer receives information that defendant has MI or ID (Class B or higher). Ex. CCQ check or jail screening form.

Arrest

Does the magistrate find reasonable cause of defendant MI or ID?

Sheriff/Jailer provides written/electronic notice to magistrate within 12 hours or receipt of information.

Does defendant refuse assessment?

Defendant on bond?

Report due within 96 hours of order

Report due within 30 days of order

TCCP 16.22(b)

TCCP 16.22(b)

TCCP 16.22(b-1), 16.22(e)

N

Magistrate orders LMHA, LIDD, or other QMH/ID assessment.

N

Y

STOP

No assessment required.

Magistrate may order defendant to jail or another place for up to 72 hours for assessment.

TCCP 16.22(a)(3)

Defendant in jail?

Copies of report to prosecutor, defense attorney, and court.

Number of reports monthly to OCA.

Y

Y

TCCP 16.22(a)(1), 16.22(a)(2)

TCCP 16.22(a)(1)

QMH/ID assesses defendant for MI or ID and provides report to magistrate.

Has defendant previously been assessed in past year?

MI: MH: ID: LMHA: LIDD: QMH/ID: TCCP:

Does report show defendant has MI or ID? TCCP 17.032(b)(2)-(3)

Y

Is defendant charged with or convicted of violent offense?

TCCP 17.032(a)

N

Does magistrate determine communitybased MH/ID services are appropriate and available?

Mental Illness Mental Health Intellectual Disability Local Mental Health Authority Local Intellectual and Behavioral Disability Authority Quality Mental Health/Intellectual Disability Texas Code of Criminal Procedure

Y

Does magistrate determine defendant can be safely released?

TCCP 17.032(b)(5)

TCCP 17.032(b)(4)

N

Y

Y N

STOP

Magistrate shall release defendant on personal bond and require treatment and any other reasonable condition of bond.

TCCP 17.032(b)(5), (c), and (d)

TEXAS CRIMINAL PROCEDURE & THE OFFENDER WITH MENTAL ILLNESS AN ANALYSIS & GUIDE

SIXTH EDITION BRIAN D. SHANNON PAUL WHITFIELD HORN PROFESSOR DANIEL H. BENSON PAUL WHITFIELD HORN PROFESSOR (1936-2011)

TEXAS TECH UNIVERSITY SCHOOL OF LAW FOR

NAMI TEXAS THE NATIONAL ALLIANCE ON MENTAL ILLNESS OF TEXAS THROUGH A GRANT FROM THE

TEXAS BAR FOUNDATION

Copyright © 2019 by NAMI Texas (the National Alliance on Mental Illness of Texas) Address: Phone: Helpline: Website:

NAMI Texas P.O. Box 300817 Austin, Texas 78703 512-693-2000 800-273-8255 namitexas.org

Printed and bound in the United States of America (Austin, Texas).

All rights reserved.

Sixth edition, First Printing, November 2019.

This publication is designed to provide accurate information in regard to the subject matter covered, but it is published with the understanding that neither the author nor the publisher is engaged in rendering legal, psychiatric, or medical advice or services. If legal, psychiatric, or medical advice or services, or other expert assistance is required, the services of a competent professional should be sought.

NAMI Texas is also available to offer other general information about serious mental illnesses and family support.

TABLE OF CONTENTS

I. ACKNOWLEDGMENTS ........................................................ 5 II. INTRODUCTION & OVERVIEW ........................................ 7 III. DIVERSION STATUTES ................................................... 23 IV. COMPETENCY TO STAND TRIAL ................................. 43 A. IN GENERAL ............................................................................. 43 B. JUVENILES ............................................................................. 128 C. DEATH PENALTY..................................................................... 146 V. INSANITY DEFENSE ....................................................... 155 A. ADULT DEFENDANTS .............................................................. 155 B. JUVENILES ............................................................................. 192 C. IDEAS FOR REFORM ................................................................ 197 VI.POST-CONVICTION ISSUES .......................................... 211 A. COMMUNITY SUPERVISION ..................................................... 211 B. PRISON OR JAIL MENTAL HEALTH CARE ................................ 217 C. COMPLETION OF THE CRIMINAL SENTENCE ............................ 218

3

Ch. 1

ACKNOWLEDGEMENTS

5

I. ACKNOWLEDGMENTS NAMI Texas (the National Alliance on Mental Illness of Texas) is a 501(c)(3) volunteer grassroots organization, and is also the Texas affiliate of NAMI (the National Alliance on Mental Illness). The mission of NAMI Texas is to improve the quality of life for all individuals living with mental illness and their families. In turn, the NAMI Texas vision is to ensure acceptance of and treatment for all those with mental illness to facilitate recovery. NAMI Texas also works to inform the public about mental illness, provides free education and support programs for family members and peers, and engages in advocacy to effect a positive change in the response of society, government, and business to individuals with a mental illness.

Local NAMI Affiliates across the state deliver vital mental health programs and support to their communities. For more information about local NAMI-Texas affiliates, see https://namitexas.org/affiliates/ and Appendix I. In 1993 the organization (then known as TEXAMI) sought and obtained the first of six generous grants from the Texas Bar Foundation to prepare the first edition of this book as a guide for attorneys, judges, family members, and individuals living with mental illness who might encounter the Texas criminal justice system. The first edition, which was initially published in March 1994, was widely distributed, free of charge, to county and district court judges, criminal district attorneys, county attorneys, criminal defense attorneys, mental health advocacy groups, family members of persons with mental illness, Texas libraries, and many others. Because of the high demand, TEXAMI obtained an additional grant from the Texas Council of Community Centers to print another 3000 copies in May 1994.

The continued publication and distribution of this guide book regarding Texas criminal law and the offender with mental illness is intended to promote the ends of justice by serving as an important educational tool. Many members of the practicing bench and bar, as well as the public in general, are not well-versed concerning the issues facing persons diagnosed with mental illness – particularly when those persons are also caught up in the criminal justice system.

Given numerous changes in the law subsequent to the first edition, the Texas Bar Foundation and the Texas Council of Community Centers again provided generous financial support for the printing and distribution of a second edition of the book in 1999. For that second edition, we also expanded our analysis of the laws to include more information relating to juvenile offenders with mental illness. In addition, NAMI Texas created a web-based version of the book starting with that second edition.

Of course, the law does not remain static. Following the 1999 publication of the second edition, the Texas Legislature enacted substantial changes to many of the laws addressed in the publication. In particular, the legislature completely overhauled the state’s criminal competency statute during the 2003 regular legislative session. One of us was fortunate to participate in the legislative task force efforts that provided the groundwork for the revisions. Those revised provisions became effective on January 1, 2004. The Texas Bar Foundation subsequently

6

ACKNOWLEDGEMENTS

Ch. 1

provided another grant to allow for the publication and distribution of the third edition of the guide book in 2004.

Thereafter, the legislature made additional significant changes to the criminal competency statutes in 2005 and 2007, totally overhauled the procedures involved in insanity defense cases in 2005, and enacted further changes to several of the diversion of offenders statutes. Accordingly, a fourth edition became necessary, and the Texas Bar Foundation again provided a grant to allow for the publication and distribution of a fourth edition in 2008. Sadly, that fourth edition was my final opportunity to collaborate with my long-time friend and mentor, Horn Professor Daniel H. Benson, who passed away in 2011. I continue to miss him and his dedication to our students, to the practicing bench and bar, and to the rule of law.

The legislature thereafter amended many of the relevant legal provisions; so, a fifth edition was published in 2016, and a new edition is now necessary given important and sweeping 2017 and 2019 legislative enactments. The Texas Bar Foundation has once again provided a generous grant to NAMI Texas to make this sixth edition possible. This revised volume is intended to update and replace the law and commentary discussed in the first five editions.

I would like, once again, to express my appreciation to the Texas Bar Foundation and NAMI Texas for enlisting me in this worthwhile project. I also wish to recognize Dean Jack Nowlin and the Texas Tech University School of Law for encouragement and support. I would also like to thank my research assistant for this sixth edition, Sara Jaeckle, and all those former students who helped me with previous editions.

Also, I want to recognize Dr. Floyd L. Jennings, the Chief of the Misdemeanor Mental Health Division of the Harris County Public Defender’s Office, for our many years of delightful exchanges and collaborations on some of the thorny legal problems involving persons with mental illness and the Texas criminal justice system. In addition, Dr. Jennings reviewed drafts of several chapters of this edition and offered very helpful suggestions and edits. His wisdom, experience, and comments made this a better book, and I thank him. Thanks, too, go to Dr. Terri LeClercq, writer extraordinaire, for volunteering her time to review and edit the manuscript. Her comments and suggestions also made this a better book. Finally, I want to thank my student, Taylor Seaton, who designed the beautiful cover art for this edition.

Although I gratefully acknowledge and thank NAMI Texas, the Texas Bar Foundation, and the Texas Tech University School of Law for their support in this project, I accept full responsibility for any errors or omissions in the ensuing analysis. In addition, I would welcome any comments or ideas about my views of the relevant statutes and procedures affecting persons with mental illness in Texas. I hope you find this to be a useful tool in navigating an often-times challenging area of the law that affects the lives of countless Texans.

Brian D. Shannon Lubbock, Texas October 2019

Ch. II

INTRODUCTION AND OVERVIEW

7

II. INTRODUCTION & OVERVIEW For decades far more persons with mental illness have been confined in our nation’s jails and prisons than in state mental hospitals. See Michael Winerip, Bedlam on the Streets, N.Y. TIMES MAGAZINE (May 23, 1999). Indeed, as has been widely reported, “the number of mentally ill persons in prisons and jails [nationally] was 10 times the number remaining in state hospitals.” See Treatment Advocacy Center & Nat’l Sheriffs’ Assoc., THE TREATMENT OF PERSONS WITH MENTAL ILLNESS IN PRISONS AND JAILS: A STATE SURVEY 6 (April 8, 2014), available at http://www.treatmentadvocacycenter.org/storage/documents/treatment-behind-bars/treatmentbehind-bars.pdf (estimating there to be over 350,000 inmates with severe mental

illness in prisons and jails versus approximately 35,000 in state hospitals). A September 2006 Department of Justice report stated that as of mid-2005 “more than half of all prison and jail inmates had a mental health problem, including 705,600 inmates in State prisons, 78,800 in Federal prisons, and 479,900 in local jails.” Doris J. James and Lauren E. Glaze, Mental Health Problems of Prison and Jail Inmates, U.S. Department of Justice Bureau of Justice Statistics (Sept. 2006). See http://www.bjs.gov/content/pub/pdf/mhppji.pdf. See also Treatment Advocacy Center & Nat’l Sheriffs’ Assoc., MORE MENTALLY ILL PERSONS ARE IN JAILS AND PRISONS THAN HOSPITALS: A SURVEY OF THE STATES 1 (May 2010), available at https://www.treatmentadvocacycenter.org/storage/documents/final_jails_v_hospitals_study.pdf

(noting that “at least 16 percent of inmates in jails and prisons have a serious mental illness” and “that 40 percent of individuals with serious mental illnesses have been in jail or prison at some time in their lives”).

The experience has been similar in Texas. As the Texas Judicial Council’s Mental Health Committee noted in 2016: Approximately 20- to 24-percent of the inmate population in Texas has a mental health need; adults with untreated mental health conditions are eight times more likely to be incarcerated than the general population. A 2010 study concluded that nearly eight adults with severe and persistent mental illness were in jail or prison in Texas for every adult in a state psychiatric hospital.

Texas Judicial Council Mental Health Committee Report & Recommendations, at 2 (Oct. 2016), https://www.txcourts.gov/media/1436230/report-and-recommendations-of-tjcmental-health-committee-final-w-cover.pdf. In addition, in 2013 “over 40% of bookings into local Texas county jails were for individuals who had … some prior contact with the [Texas] public mental health system, whether at a CMHC [community mental health center] or a state hospital.” Center for Public Policy Priorities, Mental Health Screening and Intake in County Jails (April 30, 2014), http://www.legis.state.tx.us/tlodocs/83R/handouts/C2102014050510001/719abd7c-9cd9-4092aae9-46d5765f52cf.PDF. Moreover, over a third of Texas state prison inmates had

received public mental health services at some point prior to their imprisonment – per 2013 data, and 12% of the 2013 state prison population had a diagnosis of schizophrenia, bipolar disorder, or major depression. Megan Randall and Katharine

8

INTRODUCTION AND OVERVIEW

Ch. II

Ligon, Center for Public Policy Priorities, From Recidivism to Recovery 4 (August 6, 2014), available at http://forabettertexas.org/images/HC_2014_07_RE_PeerSupport.pdf.

With our nation now housing an unprecedented number of people in jail or prison, one would expect the percentage of inmates with mental disorders to correspond with the percentage found in the general population. However, the incidence of jail detainees with mental illness has long been far higher than among the general population. Henry J. Steadman and Bonita M. Veysey, Providing Services for Jail Inmates with Mental Disorders, Nat’l Inst. of Justice (April 1997). Indeed, as reported by the Justice Center of the Council of State Government’s Criminal Justice/Mental Health Consensus Project, “People with mental illness are overrepresented in all parts of the criminal justice system – in their contact with law enforcement, in the courts, in jails and prisons, and in parole and probation caseloads across the country.” CRIMINAL JUSTICE/MENTAL HEALTH CONSENSUS PROJECT 4, https://csgjusticecenter.org/mental-health-projects/report-of-the-consensusavailable at project/. See also Criminal Justice Responses to Offenders with Mental Illness, Hearing before the Subcomm. on Crime, Terrorism, & Homeland Security, House Comm. of the Judiciary, 110th Cong. 3 (March 27, 2007), available at http://www.gpo.gov/fdsys/pkg/CHRG-110hhrg34359/pdf/CHRG-110hhrg34359.pdf

[hereinafter House Report] (making a comparable observation and stating that the country was “at a crossroads with regard to treatment of people with mental disorders who are brought in to the criminal justice system”).

What has accounted for this great expansion in jail detention of persons with mental impairments? As early as April 1999, a National Institute of Justice report stated the following: The dramatic growth of the population of jailed mentally ill persons has coincided with the policy of deinstitutionalization that resulted in the release of thousands of mentally ill people from psychiatric facilities to the community. Additional factors, including cuts in public assistance, more stringent civil commitment laws, declines in the availability of low-income housing, and limited availability of mental health care in the community, are thought to have exacerbated conditions for the mentally ill and contributed to their increased involvement in the criminal justice system.

Catherine Conly, Coordinating Community Services for Mentally Ill Offenders: Maryland’s Community Criminal Justice Treatment Program, Nat’l Inst. of Justice 3 (April 1999).

More recently, a Florida state criminal court judge provided the following testimony before Congress: The sad irony is that we did not deinstitutionalize mental health care. We allowed for the trans-institutionalization of people with mental illnesses from state psychiatric facilities to our correctional institutions, and in the process, made our jails and prisons the asylums of the new millennium. In many cases, the conditions that exist in these correctional settings are far worse

Ch. II

INTRODUCTION AND OVERVIEW

9

than those that existed in state hospitals. The consequences of this system have been increased homelessness, increased police injuries, increased police shootings of people with mental illnesses, critical tax dollars wasted, and the reality that we have made mental illness a crime; or at the very least a significant risk factor for criminal justice system involvement. In 200 years, we have come full circle, and today our jails are once again psychiatric warehouses. To be fair, it’s not honest to call them psychiatric institutions because we do not provide treatment very well in these settings.

House Report, supra at 8 (testimony of the Honorable Steven Leifman, Judge, Criminal Division of Miami-Dade County Court, 11th Judicial District, Miami, FL). 1 Judge Leifman also observed that “[b]ecause of lack of access to community-based care, our police, correctional officers, and courts have increasingly become the lone responders to people in crisis due to mental illnesses.” Id. Similarly, one study of the states concluded, “When the mental health system functions poorly, the criminal justice system too often becomes the default provider of treatment and care for people with serious mental illnesses. This mode of operation is inhumane, ineffective, and expensive.” National Alliance on Mental Illness (NAMI), GRADING THE STATES: A REPORT ON AMERICA’S HEALTH CARE SYSTEM FOR ADULTS WITH SERIOUS MENTAL ILLNESS 43 (2009), available at http://www.nami.org/grades.

The history of the situation in Texas has been similar. One early report theorized the following: A deinstitutionalization of state psychiatric hospitals and hospitals for the mentally ill and mentally retarded occurred in Texas in the 1980’s. However, community resources did not keep pace with the needs of the deinstitutionalized population, leaving a significant population of mentally impaired clients with unmet residential and service needs. Many of these clients ended up in the criminal justice system because of these unmet needs.

TEXAS CRIMINAL JUSTICE POLICY COUNCIL, MENTALLY RETARDED AND MENTALLY ILL CRIMINAL OFFENDERS: EFFECTIVENESS OF COMMUNITY INTERVENTION PROGRAMS 1 (March 1993). Moreover, information, procedures and protocols were traditionally lacking in Texas jails to deal with detainees with mental illness. As another early 1990’s report observed: Historically law enforcement, prosecutorial, judicial, and corrections officials have not had adequate information about the signs and symptoms of mental illness, mental retardation and other developmental disabilities. They understand neither appropriate methods of dealing with signs and symptoms nor the needs of these individuals. Consequently, offenders with mental impairments are often prosecuted, sentenced and incarcerated without consideration of their special needs.

1 Judge Leifman was the keynote speaker at both the November 2016 and November 2018 Texas Tech Law School Mental Health Symposia.

10

INTRODUCTION AND OVERVIEW

Ch. II

TEXAS COUNCIL ON OFFENDERS WITH MENTAL IMPAIRMENTS, BIENNIAL REPORT TO THE TEXAS LEGISLATURE 5 (1993). This same study stressed further that “[t]hese special populations, with their complex needs, the stigma of disability or illness and their status as offenders, face substantial barriers to service. Even when some services are available, the lack of collaboration and coordination among providers create fragmentation of services.” Id. at 6.

By the early 2000’s, the Texas Criminal Justice Policy Council provided several reports to the legislature that helped make issues relating to offenders with mental illness a high priority for the 2001 and ensuing sessions. For example, a report prior to the 2003 legislative session made the following blunt assessment: “A high proportion of the offender population is mentally ill. Services for mentally ill offenders in the community are limited. Lack of specialized supervision and treatment services impacts [the] success of mentally ill offenders.” TEXAS CRIMINAL JUSTICE POLICY COUNCIL, IMPLEMENTATION EVALUATION OF THE ENHANCED MENTAL HEALTH SERVICES INITIATIVE 7 (January 2003). Indeed, within the prisons and jails in Texas, as well as in the population of individuals under supervision through probation and parole, mental health services had typically been underfunded and were not a priority. Although jails had all too often become alternative “treatment” facilities within the community, they frequently lacked appropriate and adequate treatment services, and jails were often ill-equipped to provide those services. In addition, the numbers of persons with mental illness who end up in the criminal justice system have only increased since that time.

Who are these individuals with mental illness in our jails? Of course, some persons with mental illness are in jail or prison because they have committed one or more serious criminal offenses. Often, however, the charged crimes are lesser offenses that are products of or connected to the offenders’ mental illness. A 1992 survey of the nation’s 3000-plus jails by the National Alliance for the Mentally Ill and Public Citizen’s Health Research Group determined that the five most common offenses leading to the jailing of mentally ill inmates at that time were simple assault, theft, disorderly conduct, alcohol or drug-related charges, and trespassing.

CRIMINALIZING THE SERIOUSLY MENTALLY ILL 46 (Nat’l Alliance for the Mentally Ill & Pub. Citizen’s Health Research Group 1992). The survey authors concluded that the vast majority of crimes committed by persons with serious mental illness are not violent offenses, but “are trivial misdemeanors that are often just manifestations of mental illness.” Id. at iv (emphasis in original). Two decades later, the “number of seriously mentally ill individuals in jails has increased sharply during the last two decades. … Many commit minor crimes, such as shoplifting, but a few commit major crimes, including homicides ….” Criminalizing the Seriously Mentally Ill: Two Decades Later, 27 P UBLIC CITIZEN HEALTH LETTER 1-2 (July 2011), http://www.citizen.org/documents/HL_201107.pdf (noting also that over “the past two decades, the nation’s jails have indeed become the new mental hospitals”). In addition, individuals with mental illness “not only end up in jail more often than non-

Ch. II

INTRODUCTION AND OVERVIEW

11

mentally ill ones, but they also stay longer” and are “disproportionately arrested for minor crimes.” E. FULLER TORREY, THE INSANITY OFFENSE 131 (2008). 2 Some things are definitely changing for the good in Texas, however. Over the last 25 years, our legislature has been very forward-thinking and has enacted many reforms relating to criminal laws and offenders with mental impairments. The legislature has also appropriated additional resources to study and begin to address the wide-ranging problem. Both the legislative and judicial branches have undertaken efforts to better understand and respond to the challenges posed by an ever-increasing number of individuals with mental illness being caught up in the state’s criminal justice system. For example, in 2007 Chief Judge Sharon Keller of the Texas Court of Criminal Appeals created a Mental Health Task Force to address problems involving people with mental illness who are in the criminal justice system.

That group held hearings around the state in 2007. In November 2015, Texas House Speaker Joe Straus formed the House Select Committee on Mental Health “to take a wide-ranging look at the state’s behavioral health system.” http://www.house.state.tx.us/news/press-releases/?id=5741. The select committee delivered a sweeping report to the Texas Legislature prior to the 2017 legislative session. See Interim Report to the 85th Texas Legislature, House Select Committee on Mental Health (December 2016), available at https://house.texas.gov/_media/pdf/committees/reports/84interim/Mental-Health-SelectCommittee-Interim-Report-2016.pdf. Additionally, over the last several legislative

sessions, the legislature has provided substantial emphasis and funding to focus on issues relating to persons with mental illness in the criminal justice system.

Then, most notably, the Texas Supreme Court and Texas Court of Criminal Appeals have become very engaged in addressing judicial issues involving persons with mental disabilities. In 2016 the Texas Judicial Council revised its committee structure to establish the Committee on Guardianship, Mental Health, and Intellectual and Developmental Disability. In turn, that committee’s “cornerstone recommendation was to establish a permanent judicial commission on mental health, similar to the Supreme Court Children’s Commission, the Texas Access to Justice Commission, and the Texas Indigent Defense Commission.” See Creating a Judicial Commission on Mental Health (Feb. 9, 2018), at 3, available at http://www.txcourts.gov/media/1441380/jcmh-planning-committee-report-final.pdf. The Texas Supreme Court and Texas Court of Criminal Appeals jointly created the Texas Judicial Commission on Mental Health in February 2018. Its mission is broad but includes such matters as endeavoring to “identify and assess current and future needs for the courts to be more effective in achieving positive outcomes for Texans with mental illness” and to “promote appropriate judicial training regarding mental health needs, systems, and services.” See Order Establishing Judicial Commission on Mental Health, Supreme Court Misc. Docket No. 18-9025 & Court of Criminal On this same theme, I would urge the reader of this guidebook to read Pete Earley, Crazy: A Father’s Search Through America’s Mental Health Madness (2006). Earley’s book, which was a finalist for the 2007 Pulitzer Prize, is an extraordinary chronicle of the challenges faced within the criminal justice system with regard to individuals with mental illness.

2

12 Appeals

INTRODUCTION AND OVERVIEW Misc.

Docket

No.

18-004,

at

3

(Feb.

13,

Ch. II 2018),

available

at

https://www.txcourts.gov/media/1440539/189025.pdf (setting forth the full charge for the

Commission). One of the early and laudable efforts by the Commission was the release of the first edition of the Texas Mental Health and Intellectual and Developmental Disabilities Law Bench Book to provide guidance to the courts on mental health law issues. See http://texasjcmh.gov/media/1636/jcmh-bench-book-may2019.pdf (which will be referenced in the ensuing chapters). 3

Additionally, an array of Texas counties have become leaders in developing mental health courts, drug courts, and veterans’ courts. As of May 2019, there were over 200 specialty courts across Texas, including many mental health courts. See https://gov.texas.gov/uploads/files/organization/criminal-justice/Specialty-Courts-ByCounty.pdf (for a list of the specialty courts throughout the state as of May 2019).

Still other counties have received grant funding from the Texas Indigent Defense Commission and have created mental health public and private defenders offices.

Early data from these programs demonstrated a significant reduction in recidivism and greater treatment compliance. See Texas Task Force on Indigent Defense & Office of Court Administration, Representing the Mentally Ill Offender: An Evaluation of Advocacy Alternatives (April 2010), available at: https://ppri.tamu.edu/files/Representing_the_Mentally_Ill_Offender.pdf.

Regardless of the precise reasons for the presence of so many offenders with mental illness in the criminal justice system, many persons from a wide spectrum of experiences and backgrounds should endeavor to better understand the interplay between criminal law and mental illness: lawyers, judges, law enforcement personnel, corrections officials, parole and probation officers, mental health experts, family members, and persons diagnosed with mental illness. Texas law provides various mechanisms to divert offenders with mental illness into alternatives to incarceration – particularly with respect to nonviolent offenses. Moreover, even for those offenders with mental illness who must be confined in jail or prison, proper treatment for these individuals’ mental health needs should be a priority concern.

The availability of legal options are of little value, however, if persons involved in the criminal justice system lack knowledge or adequate understanding regarding the legal issues and special needs of criminal defendants with mental illness.

Three years prior to the first edition of this book, a 1990 report by the Hogg Foundation for Mental Health emphasized the need for law enforcement personnel such as sheriff’s deputies, judges, and parole officers “to become more knowledgeable and understanding of persons with mental illness.” TECHNOLOGY, TRAINING, COLLABORATION: COMMITTEE REPORTS OF THE COMMISSION ON COMMUNITY CARE OF THE MENTALLY ILL 9 (Hogg Found. for Mental Health 1990). That same report observed further that “it is also essential for judges and magistrates to be educated, informed, and oriented about basic aspects of mental illness, available resources, and how these factors interface with the legal system.” Id. at 10. This assessment has not changed. For example, as part of S.B. 362 in 2019, the legislature added Section 3 I am currently serving as an appointee on the Commission. A second edition of the Bench Book will be available in late 2019.

Ch. II

INTRODUCTION AND OVERVIEW

13

22.1106, Texas Government Code, to require the Court of Criminal Appeals to “ensure that judicial training related to court-ordered outpatient mental health services is provided at least once every year.” Moreover, part of the charge of the Judicial Commission on Mental Health is to provide judicial training about mental health law issues. Correspondingly, it has been our intent in preparing the various editions of this book to provide guidance and information to prosecutors, judges, defense attorneys, law enforcement officials, persons with mental illness, family members, and others involved in the criminal justice system.

Specifically, this guide book identifies certain key statutes that relate to offenders and alleged offenders who have mental illness, and then includes analysis of those laws. Because our intended audience has not been limited strictly to attorneys and judges, we have endeavored to adopt a narrative style in analyzing the pertinent statutory provisions, and we have consciously chosen to avoid any detailed case analysis. 4 What is meant by “mental illness” or “serious mental illness”? Before launching into a discussion of the various statutes covering persons with mental illness who are charged with crimes, it is important to discuss definitions of these terms generally.

Recent brain research has revealed and confirmed that serious mental illnesses such as schizophrenia, bipolar disorder, clinical depression, and schizoaffective disorder are neurobiological diseases of the brain. Like other organs of the body, the brain can become ill. Indeed, the medical literature is replete with findings that serious mental illnesses are neurobiological brain diseases. Accordingly, in this book the terms “mental illness” and “serious mental illness” will generally refer to neurobiological brain diseases such as schizophrenia, bipolar disorder, schizoaffective disorder, or severe depressive illness. Correspondingly, these terms are generally not intended to include other purely mental, emotional, behavioral, or coping problems that are not neurobiological in nature.

For purposes of appropriate and required health insurance coverage, the Texas Insurance Code defines the phrase, “serious mental illness,” as follows: (1) “Serious mental illness” means the following psychiatric illnesses as defined by the American Psychiatric Association in the Diagnostic and Statistical Manual (DSM): (A) bipolar disorders (hypomanic, manic, depressive, and mixed); (B) depression in childhood and adolescence; (C) major depressive disorders (single episode or recurrent); (D) obsessive-compulsive disorders; 4 We have also collaborated with Texas Appleseed and the Hogg Foundation for Mental Health in the preparation and later updates of another guidebook, MENTAL ILLNESS, YOUR CLIENT AND THE CRIMINAL LAW (4th ed. 2015), available at https://www.texasappleseed.org/sites/default/files/Mental_Health_Handbook_Printed2015.pdf. For an earlier helpful handbook produced by Texas Appleseed and the Hogg Foundation, see FINDING HELP WHEN YOU’RE IN TROUBLE WITH THE LAW, available at https://www.texasappleseed.org/sites/default/files/14-Mentalhealth-DefendantHandbook.pdf.

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(E) paranoid and other psychotic disorders; (F) schizo-affective disorders (bipolar or depressive); and (G) schizophrenia.

Tex. Ins. Code Ann. § 1355.001.

On the other hand, under the state’s civil commitment laws, the Texas Mental Health Code defines “mental illness” somewhat more broadly than a mere listing of identifiable, neurobiological brain disorders. Specifically, Subsection 571.003(14) of the Health & Safety Code provides the following definition: (14) “Mental illness” means an illness, disease, or condition, other than epilepsy, dementia, substance abuse, or intellectual disability, that: (A) substantially impairs a person’s thought, perception of reality, emotional process, or judgment; or (B) grossly impairs behavior as demonstrated by recent disturbed behavior.

Tex. Health & Safety Code Ann. § 571.003(14). For our purposes of examining the law relating to criminal offenders with mental illness, the Mental Health Code definition of “mental illness” is often important because many of the pertinent criminal statutes also use the definition. See, e.g., Art. 46B.001(12), Tex. Code Crim.

Proc. (defining “mental illness” in an almost identical fashion to the Health and Safety Code definition).

The consideration of a bare statutory definition of mental illness, however, is insufficient to gain a full appreciation for this class of brain diseases. Four of the most common serious mental illnesses are schizophrenia, bipolar disorder, schizoaffective disorder, and major depressive illness. “Schizophrenia” is a brain disease that affects a person’s thinking and judgment, sensory perception and the ability to interpret and respond to situations appropriately. Symptoms can include poor reasoning, disconnected and confusing language, hallucinations, delusions, and deterioration of appearance and personal hygiene. The NAMI website offers the following description: Schizophrenia is a serious mental illness that interferes with a person’s ability to think clearly, manage emotions, make decisions and relate to others. It is a complex, long-term medical illness, affecting about 1% of Americans. Although schizophrenia can occur at any age, the average age of onset tends to be in the late teens to the early 20s for men, and the late 20s to early 30s for women. It is uncommon for schizophrenia to be diagnosed in a person younger than 12 or older than 40. It is possible to live well with schizophrenia. https://www.nami.org/Learn-More/Mental-Health-Conditions/Schizophrenia.

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In turn, the National Institute of Mental Health has described the disease as follows: Schizophrenia is a chronic and severe mental disorder that effects how a person thinks, feels, and behaves. People with schizophrenia may seem like they have lost touch with reality. Although schizophrenia is not as common as other mental disorders, the symptoms can be very disabling. … Symptoms include: [h]allucinations, [d]elusions, [t]hought disorders (unusual or dysfunctional ways of thinking), [m]ovement disorders … [and negative symptoms such as] ‘[f]lat affect’ (reduced expression of emotions via facial expression or voice tone) …. It is important to understand that schizophrenia is a biological illness.

See http://www.nimh.nih.gov/health/topics/schizophrenia/index.shtml (also discussing treatments with antipsychotic medications, psychosocial treatment, and coordinated care).

Another of the more prevalent types of serious mental illness is bipolar disorder, which at one time was commonly known as manic depression. In contrast to schizophrenia, persons who are diagnosed with “bipolar disorder” often swing between extremely high and low moods. The NAMI website provides the following description: Bipolar disorder is a mental illness that causes dramatic shifts in a person’s mood, energy and ability to think clearly. People with bipolar experience high and low moods – known as mania and depression – which differ from the typical ups and downs most people experience. The average age-of-onset is about 25, but it can occur in the teens, or more uncommonly, in childhood.

The condition affects men and women equally, with about 2.6% of the U.S. population diagnosed with bipolar disorder and nearly 83% of cases classified as severe. If left untreated, bipolar disorder usually worsens. However, with a good treatment plan including psychotherapy, medications, a healthy lifestyle, a regular schedule and early identification of symptoms, many people live well with the condition. https://www.nami.org/Learn-More/Mental-Health-Conditions/Bipolar-Disorder.

In turn, the National Institute of Mental Health offers this description: Bipolar disorder is a chronic or episodic (which means occurring occasionally and at irregular intervals) mental disorder. It can cause unusual, often extreme and fluctuating changes in mood, energy, activity, and concentration or focus. Bipolar disorder sometimes is called manic-depressive disorder or manic depression, which are older terms. Everyone goes through normal ups and downs, but bipolar disorder is different. The range of mood changes can be extreme. In manic episodes, someone might feel very happy, irritable, or

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“up,” and there is a marked increase in activity level. In depressive episodes, someone might feel sad, indifferent, or hopeless, in combination with a very low activity level. Some people have hypomanic episodes, which are like manic episodes, but less severe and troublesome. Most of the time, bipolar disorder develops or starts during late adolescence (teen years) or early adulthood. Occasionally, bipolar symptoms can appear in children. Although the symptoms come and go, bipolar disorder usually requires lifetime treatment and does not go away on its own. Bipolar disorder can be an important factor in suicide, job loss, and family discord, but proper treatment leads to better outcomes. http://www.nimh.nih.gov/health/publications/bipolar-disorder-in-adults/index.shtml.

“Schizoaffective disorder” is another serious mental illness, and – although less common than schizophrenia or bipolar disorder – it is also quite disabling. NAMI describes the disease as follows: Schizoaffective disorder is a chronic mental health condition characterized primarily by symptoms of schizophrenia, such as hallucinations or delusions, and symptoms of a mood disorder, such as mania and depression. … Because schizoaffective disorder is less well-studied than the other two conditions, many interventions are borrowed from their treatment approaches. Many people with schizoaffective disorder are often incorrectly diagnosed at first with bipolar disorder or schizophrenia because it shares symptoms of multiple mental health conditions. Schizoaffective disorder is seen in about 0.3% of the population. Men and women experience schizoaffective disorder at the same rate, but men often develop the illness at an earlier age.

Schizoaffective disorder can be managed effectively with medication and therapy. https://www.nami.org/Learn-More/Mental-Health-Conditions/Schizoaffective-Disorder.

Another prevalent type of serious mental illness is major depressive illness or major depression. Although all humans will occasionally feel depressed, depressive illness is much more severe. The NAMI website includes the following information about depression: Depressive disorder, frequently referred to simply as depression, is more than just feeling sad or going through a rough patch. It’s a serious mental health condition that requires understanding and medical care. Left untreated, depression can be devastating for those who have it and their families.

Fortunately, with early detection, diagnosis and a treatment plan consisting of medication, psychotherapy and healthy lifestyle choices, many people can and do get better. Some will only experience one depressive episode in a lifetime, but for most, depressive disorder recurs. Without treatment, episodes may last a few months to several years. An estimated 16 million American adults—almost 7% of the population—had at least one major depressive episode in the past year. People of all ages and all racial,

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ethnic and socioeconomic backgrounds experience depression, but it does affect some groups more than others.

A person with major depression can have severe symptoms that can affect how the person “feel[s], think[s], and handle[s] daily activities, such as sleeping, eating, or working.” There can also be “psychotic depression” in which the “person has severe depression plus some form of psychosis ….”

See https://www.nimh.nih.gov/health/topics/depression/index.shtml. The disease is usually quite treatable, and “[t]he earlier that treatment can begin, the more effective it is.” Id. https://www.nami.org/Learn-More/Mental-Health-Conditions/Depression.

As described above, these mental illnesses are neurobiological in nature. They are brain illnesses. Modern research efforts relating to the causes of mental illness indicate that mental illnesses are the result of neurobiological disease, not of weaknesses in character or poor parenting. Although these diseases are not curable at present, they are treatable. For example, one leading psychiatrist has commented that “[c]ontrary to the popular stereotype, schizophrenia is an eminently treatable disease.” E. FULLER TORREY, SURVIVING SCHIZOPHRENIA: A FAMILY MANUAL 147 (7th ed. 2019). Dr. Torrey compares the treatment for schizophrenia as being akin to the treatment for diabetes in that “both can usually be well controlled, but not cured, by drugs. Just as we don’t talk of curing diabetes but rather of controlling its symptoms and allowing the person with diabetes to lead a comparatively normal life, so we should also do with schizophrenia.” Id. at 148. Moreover, the relatively recent advent of a variety of more effective antipsychotic medications (often called atypical medications) has offered even better treatment outcomes. For example, Dr. Torrey identifies clozapine as the “single most effective antipsychotic, significantly better than the others.” See id. at 174-76.

Despite recent advances in medical knowledge about the neurobiological bases of serious mental illnesses, many persons still remain ignorant about the true nature of these diseases. Correspondingly, many persons with these illnesses, as well as their family members, are forced to endure much public stigma. For someone unfamiliar with the true nature of these diseases, symptoms and manifestations like delusional thinking, hallucinations, and other bizarre behavior can be quite frightening. One additional challenge is that many individuals with a mental illness such as schizophrenia or bipolar disorder also have co-occurring anosognosia – a symptom that causes the person to have a lack of insight or awareness that anything is wrong.

See Anosognosia, Treatment Advocacy Center, available at https://www.treatmentadvocacycenter.org/key-issues/anosognosia. As current evidence about these illnesses and their treatment becomes better known, however, stigmatization problems resulting from ignorance should lessen. Nonetheless, a person with mental illness who encounters the jail system may face heightened stigma not only because of the illness, but also as a consequence of the arrest and incarceration.

Among the many myths relating to mental illness are misconceptions that all or most persons with mental illness must be dangerous. As a general matter, this is

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simply not true. Persons with mental illness in the community who are being treated pose no more a risk of violence than the general population; unfortunately, “if a person is off medication and psychotic, he becomes a greater risk for violence.” See Michael Winerip, supra. The authors of the 1992 survey of the nation’s jails emphatically observed the following: “It should be clearly stated that the vast majority of seriously mentally ill persons who end up in jail are not dangerous.”

CRIMINALIZING THE SERIOUSLY MENTALLY ILL, supra, at 85. The authors acknowledged, however, that “it is also clear … that a small number of seriously mentally ill persons, if not treated for their illness, do become dangerous, may commit serious crimes, and usually end up in jail.” Id. (emphasis in original). After highlighting research in this area, the report concluded, “Mentally ill individuals who are being treated are not more dangerous than the general population. It is the failure to treat these individuals that makes them potentially dangerous.” Id. at 86 (emphasis in original). As Dr. Torrey has summarized more recently in discussing persons with schizophrenia, “Studies have made clear that most persons with schizophrenia are not assaultive or violent but that a small number of them are. The common denominators of those who are assaultive and violent are abuse of alcohol or drugs and/or noncompliance with antipsychotic medication.” E. Fuller Torrey, SURVIVING SCHIZOPHRENIA, supra, at 269. See also Risk Factors for Violence in Serious Mental Illness, Treatment Advocacy Center (June 2016) (summarizing studies finding that most persons with serious mental illness are not dangerous, but that a small number commit acts of violence, particularly when untreated and abusing alcohol or drugs), available at https://www.treatmentadvocacycenter.org/evidenceand-research/learn-more-about/3633-risk-factors-for-violence-in-serious-mental-illness. Thus, treatment initiatives should be pursued not only as a response to medical needs, but to avoid the potential for dangerousness. Put simply, treatment works and can lessen the potential for dangerousness, violence, or recidivism.

Treatment and identification of persons with mental illness were traditionally scarce in jails, but this has been improving in many counties in Texas. Previously, for instance, a 2005 study by the Texas Commission on Jail Standards, with the collaboration of the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI), indicated that the intake process within the jails for mental health screening was unreliable. Based on a random sample of 100 inmates, the local jails identified that 15 (15%) had a mental health diagnosis. However, another 29 of the remaining inmates were found on the CARE (Client Assessment Registry) data system “as current or former clients of MHMR, but no mental health notation was indicated by the jail.”

Id. at 29.

See also http://www.tcjs.state.tx.us/docs/MH%20Study.pdf (copy of full report). Thus, these 29 inmates had gone through the entire criminal process and been convicted and sentenced without the jails having ever noted that they either were or had been patients within the state’s public mental health system. The report also bleakly concluded that there appeared “to be an inconsistent interaction [around the state] between local jails and the public mental health system.” Id. Thereafter, the Texas Jail Standards Commission and TCOOMMI have undertaken efforts to encourage greater communication and cooperation between

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local jails and community mental health authorities. Working together, they have established a better process for local jails and mental health authorities to crossreference their databases. In addition, the legislature enacted amendments to Article 16.22, Texas Code of Criminal Procedure, in 2009 and again in 2017 and 2019. The 2009 bill’s statement of intent noted that “the legislature has made a commitment to ensure that arrested individuals are appropriately screened and identified for mental illness or … [intellectual disability] at the jails.” Tex. Sen. Research Center, Bill Analysis, Tex. S.B. 1557, S.B. 1557, 81st Leg., R.S. (Aug. 11, 2009). 5 A 2012 state jail survey revealed that most of the responding counties “screened for suicidal ideation and whether or not an inmate took a medicine. About half … offered in-house care, and the other half referred inmates to the local mental health authority.” Emilie Attwell Becker, Mental Health Services in Texas Jails, Tex. Med. J. 112 (Nov. 2016), available at https://www.texmed.org/Nov16Journal/. Moreover, the Texas Commission on Jail Standards has a prescribed intake “Screening Form for Suicide and Medical/Mental/Developmental Impairments,” which was updated in 2015. See https://www.tcjs.state.tx.us/docs/ScreeningForm-SMMDI_Oct2015.pdf.

These improvements in initial screenings, as well as collaboration between jails, local mental health authorities, and the courts reflect important advances.

Additionally, treatment initiatives, whether at the jail or through diversion programs, must also be encouraged. Indeed, the jails have a legal requirement to provide equitable treatment for mental disabilities – like for other health care needs.

The Texas Commission on Jail Standards has adopted a rule requiring every jail to comply with the Americans with Disabilities Act (ADA). See 37 Tex. Admin. Code § 269.4 (requiring “equitable treatment regardless of race, religion, national origin, gender, age, or disabilities”). Thus, jails cannot legally discriminate against inmates with mental illness by refusing to provide adequate, appropriate medical care for the illness. 6 An additional rule requires jails to provide medical and mental services. Id. §§ 273.1 – 273.2.

Of course, this book is not intended to be a primer on mental health treatment issues concerning defendants with serious mental illness. Instead, the primary purpose of the book is to set forth and analyze the relevant criminal procedure statutes that apply to persons with mental illness who get caught up in the criminal justice system. The reader should note that many of the statutory provisions discussed below, including those relating to incompetency to stand trial and the insanity defense, also include provisions addressing persons with intellectual disabilities (formerly identified as mental retardation). This book’s primary focus, however, is to examine and discuss the laws relating to offenders with mental illness.

Accordingly, I have typically opted to omit discussion of the application of these laws The 2017 and 2019 legislation will be discussed in detail in Chapter III, infra, in connection with a discussion regarding sheriffs’ and magistrates’ duties under Article 16.22.

6 Unfortunately, however, the two largest mental-health facilities in the state are located in the Harris County and Dallas County jails. See Editorial, The Largest Mental-Health Facility in Texas Shouldn’t be a Jail, Dallas Morning News (Feb. 17, 2019), available at https://www.dallasnews.com/opinion/editorials/2019/02/17/largest-mental-health-facility-texasshouldnt-jail.

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to persons with intellectual disabilities. (By way of background, unlike mental illnesses that generally strike individuals with normal intelligence after childhood, an intellectual disability is typically a developmental disability of the brain that is often present from birth and will have developed prior to a person’s 18th birthday.)

Although there are certainly criminal justice issues relating to offenders who have intellectual disabilities, those matters are beyond the scope of this project. Moreover, if an offender suffers from a dual diagnosis of both a mental illness and an intellectual disability, counsel should consider pursuing arguments based on the statutory provisions relating to both mental illness and intellectual disabilities.

As the reader will have already observed, a myriad of issues surrounds persons with mental illness who are charged with crimes. By and large, however, the public seems to pay little attention to these matters until some notorious crime is committed by a person with mental illness. Consider, for example, the media clamor relating to two high-profile Texas cases almost twenty years ago involving Andrea Yates and Deanna Laney, along with the 2015 trial following the killing of the noted “American Sniper” Chris Kyle. The resulting publicity from those tragic cases provides insight into the types of criminal justice issues and problems relating to offenders with mental illness who commit serious crimes. Ms. Yates, as most people will recall, was initially convicted of capital murder in March 2002 in connection with having systematically killed her five children by drowning in June 2001. In finding Ms. Yates guilty, the Houston jury in the first trial rejected her plea of insanity. As part of the closing arguments in the case, defense counsel summarized that several of the “medical experts who testified said Yates was the sickest patient they had ever seen.” Case of Texas Mother Goes to Jury, CNN.com (March 12, 2002), available at http://www.cnn.com/2002/LAW/03/12/yates.trial/index.html. After a reversal by the court of appeals, however, Ms. Yates was found not guilty by reason of insanity in the re-trial.

Similarly, in April 2004 a Tyler jury found Ms. Laney not guilty by reason of insanity following her having bludgeoned her three sons with rocks in May 2003, killing two of the boys and causing profound brain damage to the youngest. In contrast, and as is much more typical, a Texas jury rejected the insanity defense in the 2015 trial of Eddie Ray Routh, who was found guilty of murdering famed “American Sniper” Chris Kyle. National and state media fixated on this case for weeks. See, e.g., Terence McCoy, Trial of “American Sniper” Chris Kyle’s Killer: Why the Insanity Defense Failed, Washington Post (Feb. 25, 2015), available at https://www.washingtonpost.com/news/morning-mix/wp/2015/02/25/trial-of-american-sniperchris-kyles-killer-why-the-insanity-defense-failed/.

Without doubt, these cases caused substantial public debate in the Texas legal and political communities about issues relating to the Texas insanity defense, appropriate treatment, and even the role of capital punishment for offenders with serious mental illness. I will return to a further discussion of such cases in the chapter on the insanity defense.

Of course, most of the offenses for which persons with mental illness are charged are not as serious as homicide. Moreover, the insanity defense is seldom raised and even more seldom successful. By way of contrast, however, competency issues arise daily in our state’s criminal justice system, as do issues relating to the possible

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diversion of defendants with mental illness charged with non-violent or non-serious crimes. Thus, it is critical that attorneys within the system be familiar with both the nature of the defendant’s illness and the various legal options that can be pursued.

Lawyers have a high duty in this regard. Indeed, criminal defense attorneys have been found to have provided ineffective assistance of counsel when not investigating an alleged offender’s mental illness. For example, in Bouchillon v. Collins, 907 F.2d 589 (5th Cir. 1990), the court observed the following: Where a condition may not be visible to a layman, counsel cannot depend on his or her own evaluation of someone’s sanity once he has reason to believe an investigation is warranted because, where such a condition exists, the defendant’s attorney is the sole hope that it will be brought to the attention of the court.

Id. at 597 (emphasis supplied) (footnote omitted).

In Bouchillon, the defense attorney declined to pursue any investigation regarding the defendant’s competency despite being told by the defendant that he had mental problems, had been hospitalized previously, and was on medication. Id. at 596 (observing that defense counsel had declined to investigate further because “it was difficult to prove an insanity defense in Lubbock, Texas”). The court determined that the attorney’s lack of further investigation after he had notice of the defendant’s “past institutionalization, fell below reasonable professional standards.” Id. at 597.

As evidenced by cases such as Bouchillon, an attorney’s unfamiliarity with mental illness may jeopardize a mentally ill client’s legal rights and medical treatment needs. Moreover, post-conviction attempts to correct errors of counsel will often prove to be inadequate as a substitute for knowledgeable, informed representation.

The presence of both offenders and accused individuals with mental illness in our jails and prisons continues to be a very real and pressing problem facing the Texas criminal justice system. In the ensuing chapters I will examine certain processes that arise subsequent to arrest and prior to trial (with a particular focus on the Texas diversion of offenders statutes), the criminal competency process (which was completely revamped in 2003 and has been modified a number of times thereafter), the insanity defense (as to which all the relevant procedures were completely recodified in 2005, with fine-tuning amendments thereafter), and certain postconviction issues. It is my hope that the analysis set forth in the following chapters regarding the relevant Texas statutes will prove beneficial to judges, prosecutors, defense attorneys, law enforcement officials, parole and probation officers, persons with mental illness, family members, and all others interested in criminal justice issues involving persons with mental illness.

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III. DIVERSION STATUTES As noted in the previous chapter, many individuals with serious mental illness who get caught up in the criminal justice system have been charged with relatively minor, non-violent crimes. There is general consensus that efforts should be made to divert these individuals, when possible, out of the criminal justice system and into appropriate treatment. Although Texas was a national leader in adopting diversion of offenders statutes as early as 1993, there was not significant attention paid to the various diversion statutes until recent years. For example, in 2017 the legislature enacted Article 16.23, Texas Code of Criminal Procedure, to encourage law enforcement agencies to engage in diversion efforts. That statute provides the following:

ART. 16.23, TEXAS CODE OF CRIMINAL PROCEDURE. Art. 16.23. Diversion of Persons Suffering Mental Health Crisis or Substance Abuse Issue. (a) Each law enforcement agency shall make a good faith effort to divert a person suffering a mental health crisis or suffering from the effects of substance abuse to a proper treatment center in the agency’s jurisdiction if: (1) there is an available and appropriate treatment center in the agency’s jurisdiction to which the agency may divert the person; (2) it is reasonable to divert the person; (3) the offense that the person is accused of is a misdemeanor, other than a misdemeanor involving violence; and (4) the mental health crisis or substance abuse issue is suspected to be the reason the person committed the alleged offense. (b) Subsection (a) does not apply to a person who is accused of an offense under Section 49.04, 49.045, 49.05, 49.06, 49.065, 49.07, or 49.08, Penal Code.

Moreover, separate from this specific legislation, a peace officer has broad discretion to make a warrantless apprehension of a person with mental illness when the officer has reason to believe that because of the mental illness “there is a substantial risk of serious harm to the person or to others unless the person is immediately restrained.” Tex. Health & Safety Code § 573.001(a)(1)(B). Moreover, “substantial risk of harm” for purposes of this subsection may be demonstrated either by the person’s behavior or “evidence of severe emotional distress and deterioration in the person’s mental condition to the extent that the person cannot remain at liberty.” Id. § 573.001(b). The statute authorizes the peace officer in such a situation to transport the individual to a mental health facility for emergency detention and medical evaluation under Chapter 573, Health and Safety Code. In other words, the officer has the discretion, even in the event of possible criminal activity, to divert the individual for a mental health evaluation and possible services, rather than making an arrest and transporting the individual to jail.

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In November 2018, the Texas Judicial Commission on Mental Health released the first edition of the Texas Mental Health and Intellectual and Developmental Disabilities Law Bench Book to provide guidance to the courts on these important issues. An update was provided in May 2019. See http://texasjcmh.gov/media/1636/jcmhbench-book-may-2019.pdf. The first edition focused on early identification, assessment, and diversion of persons with mental health and intellectual disabilities. The procedural guide (for which this author participated in the editing and drafting) is organized around the “widely recognized Sequential Intercept Model.” Id. at 8. The Bench Book includes substantial discussion of community services and law enforcement involvement in possible diversion. Id. at 12-40.

Many police departments and sheriff’s offices in Texas have engaged in significant diversion of offenders efforts, working in close coordination with their local mental health authority. The Houston Police Department has developed a very helpful guide which recognizes that law enforcement personnel typically are the first responders to a person in a mental health crisis. See Responding to the Mentally Ill: A Guide for Texas Peace Officers (May 2018), available at http://www.houstoncit.org/wpcontent/uploads/2018/06/Texas-Peace-Officer-Guide-for-Responding-to-the-Mentally-Ill-May2018.pdf. One tremendous advance in community policing vis-à-vis persons with

mental illness has been the development of Crisis Intervention Team (CIT) programs to create community partnerships “of law enforcement, mental health and addiction professionals, individuals who live with mental illness and/or addiction disorders, their families and other advocates” for first-responder crisis intervention. CIT is More than Just Training … it’s a community program, http://www.citinternational.org/Learn-About-CIT.

Some police departments and other law enforcement agencies have remained reluctant to exercise their discretion under the Health and Safety Code to make warrantless detentions to divert individuals to mental health services. It is to be hoped that the 2017 enactment of Article 16.23, quoted above, will provide a catalyst to these departments or agencies to engage in broader diversion efforts. Despite that new section, some officers have expressed worries about possible liability for apprehending a person and taking him or her to a mental health facility for an evaluation. That should not be a concern. Section 571.019(a) of the Health and Safety Code provides that a “person who participates in the examination, certification, apprehension, custody, transportation, detention, treatment, or discharge of any person … and who acts in good faith, reasonably, and without negligence is not criminally or civilly liable for that action.”

Jail Division Statutes. What should happen when a person with mental illness is arrested and jailed? The legislature first added several jail diversion provisions to the Texas Code of Criminal Procedure in 1993 as part of an extensive package of criminal justice reforms. These provisions were significantly amended in both 2017 and 2019, and will be discussed below.

As described in the official analysis of the original version of the 1993 legislation, previous “Texas Law ha[d] no codified procedure for allowing the transfer of suspected mentally ill … defendants who are in jail. These individuals await[ed] trial

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without the benefit of any treatment.” HOUSE COMM. ON CRIM. JURISPRUDENCE, BILL ANALYSIS, Tex. H.B. 1605, 73rd Leg. (1993). The bill analysis also declared that there is a grave injustice that is visited on those who are mentally ill … and who are in need of medical care. Regardless of guilt or innocence, these citizens should be provided appropriate care. The system of justice may proceed with the procedure that is called for; but, the health care issue is to be addressed if we are to act as a civilized society.

Id. This assessment still resonates today. And, thus, the legislature took steps to begin addressing these concerns, with far more attention paid in recent years. Three key sections will be discussed below: Article 16.22, Article 17.032, and Article 42A.506.

ART. 16.22, TEXAS CODE OF CRIMINAL PROCEDURE. Art. 16.22. Early Identification of Defendant Suspected of Having Mental Illness or Intellectual Disability. (a)(1) Not later than 12 hours after the sheriff or municipal jailer having custody of a defendant for an offense punishable as a Class B misdemeanor or any higher category of offense receives credible information that may establish reasonable cause to believe that the defendant has a mental illness or is a person with an intellectual disability, the sheriff or municipal jailer shall provide written or electronic notice to the magistrate. The notice must include any information related to the sheriff’s or municipal jailer’s determination, such as information regarding the defendant’s behavior immediately before, during, and after the defendant’s arrest and, if applicable, the results of any previous assessment of the defendant. On a determination that there is reasonable cause to believe that the defendant has a mental illness or is a person with an intellectual disability, the magistrate, except as provided

by Subdivision (2), shall order the service provider that contracts with the jail to provide mental health or intellectual and developmental disability services, the local mental health authority, the local intellectual and developmental disability authority, or another qualified mental health or intellectual and developmental disability expert to: (A) interview the defendant if the defendant has not previously been interviewed by a qualified mental health or intellectual and developmental disability expert on or after the date the defendant was arrested for the offense for which the defendant is in custody and otherwise collect information regarding whether the defendant has a mental illness as defined by Section 571.003, Health and Safety Code, or is a person with an intellectual disability as defined by Section 591.003, Health and Safety Code, including, if applicable, information obtained

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from any previous assessment of the defendant and information regarding any previously recommended treatment or service; and (B) provide to the magistrate a written report of an interview described

by Paragraph (A) and the other information collected under that paragraph on the form approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments under Section 614.0032(c), Health and Safety Code.

(2) The magistrate is not required to order the interview and collection of other information under Subdivision (1) if the defendant in the year preceding the defendant’s applicable date of arrest has been determined to have a mental illness or to be a person with an intellectual disability by the service provider that contracts with the jail to provide mental health or intellectual and developmental disability services, the local mental health authority, the local intellectual and developmental disability authority, or another mental health or intellectual and developmental disability expert described by Subdivision (1). A court that elects to use the results of that previous determination may proceed under Subsection (c).

(3) If the defendant fails or refuses to submit to the interview and collection of other information regarding the defendant as required under Subdivision (1), the magistrate may order the defendant to submit to an examination in a jail or in another place determined to be appropriate by the local mental health or intellectual and developmental disability authority for a reasonable period not to exceed 72 hours. If applicable, the county in which the committing court is located shall reimburse the local mental health authority or local intellectual and developmental disability authority for the mileage and per diem expenses of the personnel required to transport the defendant calculated in accordance with the state travel regulations in effect at the time. (a-1) If a magistrate orders a local mental health authority, a local intellectual and developmental disability authority, or another qualified mental health or intellectual and developmental disability expert to conduct an interview or collect information under Subsection (a)(1), the commissioners court for the county in which the magistrate is located shall reimburse the local mental health authority, local intellectual and developmental disability authority, or qualified mental health or intellectual and developmental disability expert for the cost of performing those duties in the amount provided by the fee schedule adopted under Subsection (a-2) or in the amount determined by the judge under Subsection (a-3), as applicable. (a-2) The commissioners court for a county may adopt a fee schedule to pay for the costs to conduct an interview and collect information under Subsection (a)(1). In developing the fee schedule, the commissioners court shall consider the generally accepted reasonable cost in that county of performing the duties

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described by Subsection (a)(1). A fee schedule described by this subsection must be adopted in a public hearing and must be periodically reviewed by the commissioners court. (a-3) If the cost of performing the duties described by Subsection (a)(1) exceeds the amount provided by the applicable fee schedule or if the commissioners court for the applicable county has not adopted a fee schedule, the authority or expert who performed the duties may request that the judge who has jurisdiction over the underlying offense determine the reasonable amount for which the authority or expert is entitled to be reimbursed under Subsection (a1). The amount determined under this subsection may not be less than the amount provided by the fee schedule, if applicable. The judge shall determine the amount not later than the 45th day after the date the request is made. The judge is not required to hold a hearing before making a determination under this subsection. (a-4) An interview under Subsection (a)(1) may be conducted in person in the jail, by telephone, or through a telemedicine medical service or telehealth service. (b) Except as otherwise permitted by the magistrate for good cause shown, a written report of an interview described by Subsection (a)(1)(A) and the other information collected under that paragraph shall be provided to the magistrate: (1) for a defendant held in custody, not later than 96 hours after the time an order was issued under Subsection (a); or (2) for a defendant released from custody, not later than the 30th day after the date an order was issued under Subsection (a). (b-1) The magistrate shall provide copies of the written report to the defense counsel, the attorney representing the state, and the trial court. The written report must include a description of the procedures used in the interview and collection of other information under Subsection (a)(1)(A) and the applicable expert’s observations and findings pertaining to: (1) whether the defendant is a person who has a mental illness or is a person with an intellectual disability; (2) whether there is clinical evidence to support a belief that the defendant may be incompetent to stand trial and should undergo a complete competency examination under Subchapter B, Chapter 46B; and (3) any appropriate or recommended treatment or service. (c) After the trial court receives the applicable expert’s written report relating to the defendant under Subsection (b-1) or elects to use the results of a previous determination as described by Subsection (a)(2), the trial court may, as applicable: (1) resume criminal proceedings against the defendant, including any appropriate proceedings related to the defendant’s release on personal bond under Article 17.032 if the defendant is being held in custody;

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(2) resume or initiate competency proceedings, if required, as provided by Chapter 46B; (3) consider the written report during the punishment phase after a conviction of the offense for which the defendant was arrested, as part of a presentence investigation report, or in connection with the impositions of conditions following placement on community supervision, including deferred adjudication community supervision; (4) refer the defendant to an appropriate specialty court established or operated under Subtitle F, Title 2, Government Code; or (5) if the offense charged does not involve an act, attempt, or threat of serious bodily injury to another person, release the defendant on bail while charges against the defendant remain pending and enter an order transferring the defendant to the appropriate court for court-ordered outpatient mental health services under Chapter 574, Health and Safety Code. (c-1) If an order is entered under Subsection (c)(5), an attorney representing the state shall file the application for court-ordered outpatient services under Chapter 574, Health and Safety Code. (c-2) On the motion of an attorney representing the state, if the court determines the defendant has complied with appropriate court-ordered outpatient treatment, the court may dismiss the charges pending against the defendant and discharge the defendant. (c-3) On the motion of an attorney representing the state, if the court determines the defendant has failed to comply with appropriate court-ordered outpatient treatment, the court shall proceed under this chapter or with the trial of the offense. (d) This article does not prevent the applicable court from, before, during, or after the interview and collection of other information regarding the defendant as described by this article: (1) releasing a defendant who has a mental illness or is a person with an intellectual disability from custody on personal or surety bond, including imposing as a condition of release that the defendant submit to an examination or other assessment; or (2) ordering an examination regarding the defendant’s competency to stand trial. (e) The Texas Judicial Council shall adopt rules to require the reporting of the number of written reports provided to a court under Subsection (a)(1)(B). The rules must require submission of the reports to the Office of Court Administration of the Texas Judicial System on a monthly basis. (f) A written report submitted to a magistrate under Subsection (a)(1)(B) is confidential and not subject to disclosure under Chapter 552, Government Code, but may be used or disclosed as provided by this article.

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Although Article 16.22 was first enacted in 1993, the legislature substantially overhauled it in 2017, 7 and there were some fine-tuning amendments in 2019.

Specifically, Article 16.22 requires a sheriff or municipal jailer to provide notice to a magistrate within 12 hours of receiving credible information that may establish reasonable cause to believe that a defendant has a mental illness or is a person with an intellectual disability. The statute employs the term “shall,” and the 12-hour reporting mandate was added by the legislature in 2017 (amending the former 72hour requirement). Relevant information may include “information regarding the defendant’s behavior immediately before, during, and after the defendant’s arrest” or the results of any previous assessment.

Once the magistrate receives the written or electronic notice regarding this credible information that may establish reasonable cause to believe that the defendant has a mental illness or is a person with an intellectual disability, the magistrate must conduct the proceedings specified in Articles 16.22 and 17.032. See Art. 15.17(a-1), Tex. Code Crim. Proc. Then, upon reviewing the credible information from the sheriff, and upon a determination that “there is reasonable cause to believe that the defendant has a mental illness or is a person with an intellectual disability,” then the magistrate typically must order that the defendant be interviewed by an appropriate expert as specified by Article 16.22(a)(1) to (1) collect information regarding whether the alleged offender has a mental illness or has an intellectual disability, and (2) submit a written report back to the magistrate. Note that this process is unnecessary if the individual has been similarly evaluated and determined to have a mental illness or be a person with an intellectual disability in the year prior to this most recent arrest. (County jails and mental health authorities should keep records of such evaluations and reports that can be made available to magistrates in such cases.) If there is not a prior report from the previous year on file, subsection (a4) permits the subsection (a)(1) interview to be conducted by the appropriate expert “in person in the jail, by telephone, or through a telemedicine medical service or telehealth service.”

In turn, pursuant to subsection (a)(3) of Article 16.22, if the defendant refuses to submit to the collection of mental health information ordered under subsection (a)(1), the magistrate may order the defendant to submit to an examination in the jail or another place deemed to be appropriate by the local mental health authority within 72 hours. After the expert’s interview with the defendant, a report must be provided to the magistrate within 96 hours of the date of the order if the defendant is in custody, or within 30 days if the defendant is not then in custody. The legislature also tasked the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI) to develop and make available a standardized reporting form. See https://www.tdcj.texas.gov/documents/rid/SB_1326.pdf.

Prior to the 2017 legislative session, the Texas Judicial Council’s Mental Health Committee made recommendations to enhance and improve the use of Articles 16.22 and 17.032. Texas Judicial Council Mental Health Committee Report & Recommendations, at 4-5 (October 2016), available at https://www.txcourts.gov/media/1436230/report-and-recommendations-of-tjcmental-health-committee-final-w-cover.pdf.

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Article 16.22 was enacted with the specific intent to require the sheriff and magistrate to intervene at an early stage in the proceedings – shortly following arrest or after a psychiatric “break” in the jail – to have the defendant receive a prompt examination to identify whether he or she has a mental illness (or is a person with an intellectual disability). The clear intent of Article 16.22 was to assure an expedited evaluation and diagnosis for a defendant who is evidencing behavior or symptoms associated with mental illness and to recommend treatment.

Several amendments to Article 16.22 over the years have clarified that Article 16.22 is indeed intended to require a quick, early evaluation report for a defendant suspected of having a mental illness or a developmental disability (or to locate the results of a comparable report if one has been conducted within the previous year’s time). The Article 16.22 evaluation does not contemplate the conducting of a full mental health assessment or competency assessment. (Indeed, the legislature removed the term “assessment” from the statute in 2019 amendments.) Instead, subsection (b) requires the examining expert to provide a written report to include findings on three matters: (1) whether the person has a mental illness (or is a person with a developmental disability), (2) “whether there is clinical evidence to support a belief that the defendant may be incompetent to stand trial and should undergo a complete competency examination” (emphasis added), and (3) any appropriate or recommended treatment or service.

It is worth emphasizing that the evaluator’s report must include a discussion of recommended treatment. This recommendation can assist jail officials in identifying and providing appropriate mental health treatment services at the jail. (It should be noted, however, that for larger counties that employ or contract with psychiatrists, the local mental health authority, or other psychiatric service providers, the identification, diagnosis, and treatment of jail inmates with mental illnesses are likely being undertaken separate and apart from any efforts undertaken to follow the process described in Article 16.22.) The Office of Court Administration has developed a helpful flowchart of the processes addressed by Article 16.22. See https://www.txcourts.gov/media/1438893/screeningassessment-sep2017.pdf.

It is also important to note that although the Article 16.22 report must state whether there is clinical evidence to support the need for a complete competency evaluation, if there are no charges yet pending it is premature to order that competency evaluation. Chapter 46B applies only to a defendant who has been charged with a felony or a misdemeanor punishable by confinement. See also Floyd L. Jennings, Statutory Changes Regarding Mentally Ill Defendants, Voice for the Defense Online (Oct. 31, 2017), available at http://www.voiceforthedefenseonline.com/story/statutory-changes-regarding-mentally-illdefendants (observing that the competency evaluation issue is not yet ripe if charges

have not been filed). On the other hand, the finding in the Article 16.22 report that there is evidence to support the belief that the defendant may be incompetent to stand trial can serve to “tee up” the issue for the court should charges be filed against the defendant. As Dr. Jennings has noted, “[T]he 16.22 report can serve as the

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evidence needed to order competency proceedings [once charges are filed] unless jailbased treatment has already resulted in sufficient stability.” Id. Once the magistrate receives the expert’s report, the magistrate must provide copies to the prosecutor, defense counsel, and the trial court. Thereafter, what should the trial court do with the findings in the report? Subsection (c) identifies five possibilities and several immediate options. First, under subsection (c)(1), the trial court can resume criminal proceedings, including giving consideration to the defendant’s release on personal bond (for nonviolent offenses), coupled with courtordered treatment conditions. This personal bond authority is set forth in Article 17.032, Texas Code of Criminal Procedure, and is discussed below.

Second, the trial court, pursuant to subsection (c)(2) can take note of the evaluator’s opinion that a full competency exam is warranted and thus order the exam and proceed under the competency provisions in Chapter 46B. Third, under subsection (c)(4), the court may refer the defendant to an appropriate specialty court, presumably a mental health court.

Fourth, in an appropriate case, and as will be discussed below, the court may transfer the case under subsection (c)(5) to the court with probate jurisdiction for consideration of court-ordered outpatient mental health services.

Finally, as provided by subsection (c)(3), the trial court can utilize the Article 16.22 report during the punishment phase following a conviction, or potentially in connection with imposing treatment conditions as part of deferred adjudication community supervision.

The intent of the original legislation and more recent amendments has been to identify (promptly) persons in custody who will likely need treatment intervention.

One challenging and concerning aspect of the statute, however, is the added requirement in Subsection (b)(2) to collect the required information for defendants who have been released from custody and to provide the statutory report within 30 days of the order. The volume of these cases – for example when a surety bond has been provided for release – is large. Moreover, with various bail reform efforts having been undertaken across the state, even larger numbers of persons have been and will be released before Article 16.22 interviews can be conducted. This aspect of the statute will need to be reassessed in a future legislative session. 8 Subsection (c)(3) was added in 2009. It permits the trial court to consider the Article 16.22 report’s findings about a defendant’s mental illness and recommended The Meadows Mental Health Policy Institute (“Meadows”) has reported on the large volume of orders subject to this provision, but concluded that there “is no capacity in the system to conduct the required number” of ordered interviews. Meadows has recommended eliminating the mandatory process for defendants who are no longer in jail custody. Tony Fabelo, Meadows Mental Health Institute, The Challenge of Identifying, Diverting, and Treating JusticeInvolved People with Mental Illness, at 46 (Dec. 3, 2018).

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treatment as part of the punishment phase following conviction, as part of a presentence investigation report, or in connection with imposing treatment conditions as part of placing the defendant “on community supervision, including deferred adjudication community supervision.” (See below for further discussion of Article 42A.506, Texas Code of Criminal Procedure.) This aspect of the statute provides the trial court with a great deal of latitude to impose mental health treatment conditions as part of disposing of a case; it also offers significant opportunities for prosecutors and defense attorneys to work out agreed treatment plans as part of a plea negotiation when appropriate. Moreover, given that Article 16.22 subsection (c)(3) provides the ability for the court to make use of the findings set forth in the Article 16.22 report during the punishment phase, it is not only prudent for, but also appears to be ethically incumbent on defense attorneys to assure that the sheriff and magistrate have complied with Article 16.22’s requirements.

The legislature added subsection (c)(5) as part of S.B. 362 in 2019. Prior to the 2019 legislative session, the Texas Judicial Council’s Guardianship, Mental Health, & Intellectual/Developmental Disability Committee recommended that Article 46B be amended “to create a new civil commitment option for Class B misdemeanor defendants.” Texas Judicial Council Guardianship, Mental Health, & Intellectual/Developmental Disability Committee Report & Recommendations, at 9 (June 2018), available at https://www.txcourts.gov/media/1441879/guardianship-mentalhealth-idd-committee-report.pdf. Interestingly, however, that authority already existed under the Texas Health and Safety Code.

Prior to discussing the 2019 addition of subsection (c)(5), some historical context is worthy of consideration. Before 1995, the Texas Mental Health Code precluded a court from issuing a civil commitment order for either temporary or extended mental health services for a proposed patient who faced charges for any criminal offense.

Thus, law enforcement officials often found themselves in the difficult position of considering whether to drop criminal charges as a means of assuring that an alleged offender could obtain mental health services pursuant to the Mental Health Code.

See generally MICHAEL J. CHURGIN, AN ANALYSIS OF THE TEXAS MENTAL HEALTH CODE 129-30 (2nd ed. 1994). In 1995, however, the legislature narrowed this restriction on the availability of civil commitment orders only to any “proposed patient who is charged with a criminal offense that involves an act, attempt, or threat of serious bodily injury to another person.” Correspondingly, however, after the 1995 amendments civil commitment became an available option for persons facing criminal charges as long as the charges do not involve an act, attempt, or threat of serious bodily injury. For the current versions of these provisions, see Tex. Health & Safety Code §§ 574.034(h), 574.0345(d), 574.035(i), and 574.0355(e).

Unfortunately, however, although this civil commitment authority has been available for such non-violent offenses since 1995, because the authority is located in the Texas Mental Health Code (a part of the Health and Safety Code), most criminal court judges and prosecutors were unfamiliar with this possible alternative.

Accordingly, to flag the possibility for criminal trial courts, the legislature as part of

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S.B. 362 in 2019 added subsection (c)(5) to Article 16.22. Specifically, the new section was intended to alert the trial court that “if the offense charged does not involve an act, attempt, or threat of serious bodily injury to another person,” the court may release the defendant on bail and order that the case be transferred to the court with probate jurisdiction to consider court-ordered outpatient mental health services. This should help in diverting more offenders out of the jail setting and into appropriate court-ordered outpatient mental health services. 9 The same section of S.B. 362 in 2019 also added subsections (c-1), (c-2), and (c-3) to Article 16.22. If the court enters a (c)(5) transfer order, an attorney for the state must file the application for court-ordered mental health services. Thereafter, should the defendant be ordered to outpatient mental health services and complies with all appropriate treatment, subsection (c-2) creates a mechanism for the court to dismiss the charges. But, the state and the court have the ability, per subsection (c-3), to resume with the criminal case should the defendant fail to comply with any courtordered outpatient mental health services.

Subsection (d) provides that Article 16.22 does not prevent the court from either releasing a defendant with mental illness on personal or surety bond, possibly with a “condition of release that the defendant submit to an examination or other assessment,” or ordering a competency exam “before, during, or after the interview and collection of other information regarding the defendant” pursuant to an Article 16.22 magistrate’s order. Accordingly, the magistrate or trial court has authority to release a defendant with mental illness on bond, but should also impose a condition that the defendant submit to the expert’s interview and evaluation under Article 16.22. As described above, however, the utility and feasibility of conducting these interviews after release on personal or surety bond is questionable. Moreover, notwithstanding the language in subsection (d)(2), there cannot be a proper order for a competency examination if charges are not pending.

Finally, although the language in Article 16.22 speaks primarily in terms of authorizing sheriffs to invoke the provisions of the act (through the statutory directive to provide information about the defendant’s possible mental illness to the magistrate), that language should not be read as a bar against other individuals providing pertinent information to a sheriff’s office concerning an alleged offender with mental illness. It may be prudent for defense counsel, the prosecutor, a mental health worker, or a family member or friend to inform law enforcement officials within the sheriff’s office concerning the alleged offender’s history of mental illness.

That information could prove useful not only with respect to invoking this statute, but also in assuring the provision of appropriate mental health services at the jail.

The information can also be relayed to the prosecuting attorney involved in the case or to the county attorney who has responsibility for the legal duties imposed on the In actuality, the relevant Chapter 574 Health and Safety Code provisions provide authority to the court with probate jurisdiction to consider either inpatient or outpatient civil commitment when such non-violent charges are pending. However, given the dearth of available inpatient civil commitment resources, the language added to Article 16.22 focused solely on outpatient civil commitment proceedings.

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sheriff. Additionally, it is important that counties and mental health authorities develop memoranda of understanding (MOUs) regarding the providing of mental health services in the jail given the large number of individuals who are arrested yet who also have received treatment services by a community mental health center or a state hospital (or both). 10

ART. 17.032, TEXAS CODE OF CRIMINAL PROCEDURE. Art. 17.032. RELEASE ON PERSONAL BOND OF CERTAIN DEFENDANTS WITH MENTAL ILLNESS OR INTELLECTUAL DISABILITY. (a) In this article, “violent offense” means an offense under the following sections of the Penal Code: (1) Section 19.02 (murder); (2) Section 19.03 (capital murder); (3) Section 20.03 (kidnapping); (4) Section 20.04 (aggravated kidnapping); (5) Section 21.11 (indecency with a child); (6) Section 22.01(a)(1) (assault), if the offense involved family violence as defined by Section 71.004, Family Code; (7) Section 22.011 (sexual assault); (8) Section 22.02 (aggravated assault); (9) Section 22.021 (aggravated sexual assault); (10) Section 22.04 (injury to a child, elderly individual, or disabled individual); (11) Section 29.03 (aggravated robbery); (12) Section 21.02 (continuous sexual abuse of young child or children); or (13) Section 20A.03 (continuous trafficking of persons). (b) Notwithstanding Article 17.03(b), or a bond schedule adopted or a standing order entered by a judge, a magistrate shall release a defendant on personal bond unless good cause is shown otherwise if: (1) defendant is not charged with and has not been previously convicted of a violent offense; (2) defendant is examined by the service provider that contracts with the jail to provide mental health or intellectual and developmental disability services, the local mental health authority, the local intellectual and developmental disability authority, or another qualified mental health or intellectual and developmental disability expert under Article 16.22; (3) applicable expert, in a written report submitted to the magistrate under Article 16.22: For an extended analysis of Article 16.22, see Texas Judicial Commission on Mental Health, Texas Mental Health and Intellectual and Developmental Disabilities Law Bench Book, at 4153 (May 2019), available at http://texasjcmh.gov/media/1636/jcmh-bench-book-may-2019.pdf. A

10

new edition will be available in late 2019.

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(A) concludes that the defendant has a mental illness or is a person with an intellectual disability and is nonetheless competent to stand trial; and (B) recommends mental health treatment or intellectual and developmental disability services for the defendant, as applicable; (4) the magistrate determines, in consultation with the local mental health authority or intellectual and developmental disability authority, that appropriate community-based mental health or intellectual and developmental disability services for the defendant are available in accordance with Section 534.053 or 534.103, Health and Safety Code, or through another mental health or intellectual and developmental disability services provider; and (5) the magistrate finds, after considering all the circumstances, a pretrial risk assessment, if applicable, and any other credible information provided by the attorney representing the state or the defendant, that release on personal bond would reasonably ensure the defendant’s appearance in court as required and the safety of the community and the victim of the alleged offense. (c) The magistrate, unless good cause is shown for not requiring treatment or services, shall require as a condition of release on personal bond under this article that the defendant submit to outpatient or inpatient mental health or treatment intellectual and developmental disability services as recommended by the service provider that contracts with the jail to provide mental health or intellectual and developmental disability services, the local mental health authority, the local intellectual and developmental disability authority, or another qualified mental health or intellectual and developmental disability expert if the defendant’s: (1) mental illness or intellectual disability is chronic in nature; or (2) ability to function independently will continue to deteriorate if the defendant does not receive the recommended treatment or services. (d) In addition to a condition of release imposed under Subsection (c), the magistrate may require the defendant to comply with other conditions that are reasonably necessary to ensure the defendant’s appearance in court as required and the safety of the community and the victim of the alleged offense. (e) In this article, a person is considered to have been convicted of an offense if: (1) a sentence is imposed; (2) the person is placed on community supervision or receives deferred adjudication; or (3) the court defers final disposition of the case.

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Another section of the 1993 penal reforms that first became effective in 1994 is Article 17.032 of the Texas Code of Criminal Procedure. Similar to Article 16.22, this statute represented an attempt by the legislature to identify promptly and divert certain alleged offenders with mental illness or intellectual disabilities into pre-trial treatment outside of the jail environment. Article 17.032 received new attention prior to the 2017 legislative session. See Texas Judicial Council Mental Health Committee Report & Recommendations, at 4 (October 2016), available at https://www.txcourts.gov/media/1436230/report-and-recommendations-of-tjc-mental-healthcommittee-final-w-cover.pdf (noting the “statutory authorization for magistrates to

release a nonviolent defendant with a mental illness on a personal bond and require treatment as a condition of release” and recommending potential amendments “to increase flexibility regarding bond availability and conditions for mentally ill, nonviolent defendants”). Indeed, Article 17.032 generally requires magistrates to release certain alleged offenders with mental illness or intellectual disabilities on personal bond pending further criminal proceedings unless good cause is shown otherwise. If a defendant is released on personal bond, there is no requirement for sureties or other security (no bail).

Specifically, the provisions of Article 17.032 direct a magistrate to release a defendant with mental illness on personal bond, unless good cause is shown, if (1) the pending charges do not include any of the violent crimes identified in Subsection (a) of the statute, and (2) the alleged offender has not been previously convicted of any such violent crime. (S.B. 1326 in 2017 narrowed this list to exclude most simple assault charges, other than for family violence.) In addition, an appropriate expert must have examined the defendant pursuant to Article 16.22, Texas Code of Criminal Procedure, as described above. Additional criteria for the defendant’s release under this statute are that the examining expert’s report must include (1) findings that the defendant has a mental illness or is a person with an intellectual disability, but is nonetheless competent to stand trial, and (2) a recommendation that the defendant receive mental health treatment or intellectual disability services, as appropriate.

Keep in mind, of course, that the Article 16.22 mental health evaluation is not a competency examination. (Moreover, under Chapter 46B a competency exam may not in any event be conducted by an expert who is involved in the treatment of the defendant or prior to the bringing of charges.) In addition, if the expert who conducted the Article 16.22 evaluation determines that the defendant has a mental illness and might be incompetent to stand trial, the Article 16.22 report must also include that information. In turn, that finding by the Article 16.22 evaluator would in all likelihood be sufficient credible evidence to trigger an informal inquiry by the trial judge to then order a full competency exam and undertake competency proceedings under Chapter 46B (if the defendant has been charged); a release on personal bond would not be relevant at that time. The net effect is that with the scope of Article 17.032 being generally limited to defendants with mental illness or intellectual disabilities who are also competent to stand trial, relatively few individuals will typically satisfy the statute’s opportunity for release on personal bond.

Even if the preceding criteria for release on personal bond are met, however, the magistrate must still determine, after consulting with the local mental health

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authority or intellectual and developmental disabilities authority, that appropriate, community-based treatment services are available. For obvious reasons, appropriate local mental health or intellectual disability services must be available for this statute to be effective. It would be nonsensical, for example, to release a defendant with serious mental illness on personal bond with mental health treatment conditions, but not have sufficient and appropriate mental health services available in the community for that individual’s treatment needs. In fact, intensive services as part of an Assertive Community Treatment (ACT) team are likely warranted.

Correspondingly, sufficient funding must be made available and dedicated to carry out the legislative intent.

As originally enacted, the release requirements set forth in Article 17.032 were mandatory provided that the relevant criteria were satisfied. Subsection (b), however, was modified in 1997 to permit a magistrate not to release a defendant with mental illness or an intellectual disability on personal bond if “good cause is shown otherwise.” This phrase was not further defined in the 1997 amendments, but it did appear to allow the prosecuting attorney to make arguments against release on personal bond in certain cases. Clearly, however, the legislature was intending “good cause” to apply only in exceptional cases, and not to become the “rule.” Then, in 2017, the legislature added subsection (b)(5) to require the magistrate to consider all the circumstances, including any available pretrial risk assessment, in assessing whether to find “that release on personal bond would reasonably ensure the defendant’s appearance in court … and the safety of the community and the victim of the alleged offense.”

The most important language included in Article 17.032 is set forth in Subsection (c). For a person with mental illness, as a condition of the defendant’s release on personal bond, the magistrate must generally require that the defendant submit either to outpatient or inpatient mental health services, as recommended by the local mental health authority, pending any further criminal proceedings. The magistrate is required to impose that condition upon finding either that (1) the defendant’s mental illness is chronic in nature, or (2) the defendant’s ability to function independently will continue to deteriorate without the benefit of treatment for the mental illness. As originally enacted, Subsection (c) stated only that a magistrate “may” impose such a treatment condition. The legislature modified that language in 1997 by replacing “may” with “shall” (“unless good cause is shown for not requiring treatment”). The 1997 changes demonstrated clear legislative intent that alleged offenders with mental illness should receive adequate and appropriate mental health services pending the resolution of the criminal process. We have long applauded the legislature’s 1997 revision making the treatment condition mandatory. This intent was re-emphasized as part of 2017’s enactment of S.B. 1326. It would be incongruous to identify an alleged offender’s mental illness and need for medical attention, yet release the individual on personal bond with no condition that the person obtain treatment. Exceptions to the treatment condition should be made only in rare circumstances. Also, a lack of funds for treatment should not equate to “good cause” for not requiring the treatment condition. However, sufficient funding should be appropriated to the local mental health authorities to assure that treatment services

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are available, such as those provided by an ACT team. Unfortunately, the lack of availability of adequate resources for community-based treatment is often the single most significant obstacle to an effective implementation of this statute.

In addition to authorizing the condition that a defendant submit to mental health treatment for release on personal bond, Subsection (d) permits a magistrate to impose other conditions “reasonably necessary to ensure the defendant’s appearance in court as required and the safety of the community and the victim of the alleged offense.” The statute, however, is otherwise silent with respect to what these “other conditions” might include, although usual bond conditions might be considered. To facilitate treatment, added restrictions under this section, if any, should not be overly broad. On the other hand, certain requirements might be both relevant and appropriate. For example, if a magistrate orders as a condition of release on personal bond that a defendant obtain outpatient care from a local mental health facility, the magistrate might also want to include a condition that the defendant or the facility provide regular reports that all appointments are being kept. Similarly, if a magistrate orders that a defendant receive inpatient services (if space is available), the magistrate might also require reports from the mental health facility as to whether the defendant continues to require inpatient treatment or could be treated satisfactorily on an outpatient basis. 11 Although Article 17.032 authorizes magistrates to release on personal bond offenders with mental illness who have been charged with nonviolent offenses, the statute is silent about the potential for release on personal bond if the charged offense is for one of the identified “violent crimes.” One may certainly argue from this silence that the legislature must not have intended to authorize any possible release on personal bond for those offenses.

There is an alternative manner by which to analyze this aspect of the statute, however. Subsection (b) of Article 17.03, Texas Code of Criminal Procedure, generally authorizes “the court before whom the case is pending” to consider releasing on personal bond a defendant charged with certain violent crimes. (The list of violent crimes delineated in Article 17.03(b) is similar but not identical to the list set forth in Article 17.032.) Moreover, Subsection (a) of Article 17.03 provides general authority for magistrates to consider releasing defendants on personal bond for all charges except those violent offenses left in the hands of the presiding trial judges under Article 17.03(b). Thus, one may argue that even for the violent crimes identified in Article 17.032, the general grant of authority for releasing defendants on personal bond set forth in Article 17.03 still provides discretion to magistrates (and for certain violent crimes, to trial judges) to consider releasing on personal bond a defendant charged with one of the violent offenses included in Article 17.032. Of course, the magistrate or trial judge, as the case may be, in such a situation has a much greater For an extended analysis of Article 17.032, see Texas Judicial Commission on Mental Health, Texas Mental Health and Intellectual and Developmental Disabilities Law Bench Book, at 60-67 (May 2019), available at http://texasjcmh.gov/media/1636/jcmh-bench-book-may2019.pdf. The Bench Book also includes a helpful flowchart for considering 17.032 issues. Id. at 64. A new edition of the Bench Book will be available in late 2019.

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degree of latitude in deciding whether to release a defendant on personal bond than in the situations delineated in Article 17.032. Additionally, in cases involving violent offenses, the magistrate or trial judge must of course give strong consideration to the protection of the public. Finally, if release on personal bond is not granted (or is ultimately determined not to be authorized), there will in all likelihood still exist a substantial need for assuring that the alleged offender with mental illness be provided with mental health treatment including appropriate medications within the jail setting (or upon release on bail).

Without doubt, Articles 16.22 and 17.032 collectively represent a clear legislative intent to create opportunities for the provision of mental health treatment or intellectual disability services subsequent to arrest outside of the jail setting for certain alleged offenders with mental illness or an intellectual disability. Particularly for nonviolent offenses, Article 17.032 continues to have the potential to provide an innovative mechanism for authorizing and ensuring treatment or services outside the jail environment pending further criminal proceedings. The same is true with regard to the 2019 addition of subsection (c)(5) to Article 16.22 that allows the trial court in cases in which the charges do “not involve an act, attempt, or threat of serious bodily injury to another person,” to release a defendant on bail and order that the case be transferred to a court with probate jurisdiction to consider court-ordered outpatient mental health services. Of course, implementation of these measures is key to their success.

Finally, and as an additional note, the reader should be aware that the existence of these diversion statutes does not preclude the possibility that a prosecutor might opt to drop criminal charges in exchange for an agreed mental health treatment plan, particularly for nonviolent crimes. This approach might be especially worth pursuing when there is some degree of confidence that the alleged offender will indeed comply with the treatment plan. Defense attorneys should endeavor to develop a prospective treatment plan that can be presented to the prosecution during plea bargaining.

Prosecutors retain the discretion not to prosecute all matters and may instead turn to the mental health system in appropriate situations. Mental health courts also provide flexible options for post-booking, pre-trial adjudications in the specialty court context. They, too, typically rely on an agreed treatment plan approach, but with regular judicial oversight. Of course, successful diversion efforts must include increased capacity for more community-based mental health services.

ART. 42A.506, TEXAS CODE OF CRIMINAL PROCEDURE. Art. 42A.506. COMMUNITY SUPERVISION FOR DEFENDANT WITH MENTAL IMPAIRMENT. If the judge places a defendant on community supervision and the defendant is determined to be a person with mental illness or a person with an intellectual disability, as provided by Article 16.22 or Chapter 46B or in a psychological evaluation conducted under Article 42A.253(a)(6), the judge may require the defendant as a condition of community supervision to submit to outpatient or inpatient mental health or intellectual disability treatment if:

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(1) the defendant’s: (A) mental impairment is chronic in nature; or (B) ability to function independently will continue to deteriorate if the defendant does not receive mental health or intellectual disability services; and (2) the judge determines, in consultation with a local mental health or intellectual disability services provider, that mental health or intellectual disability services, as appropriate, are available for the defendant through: (A) the Department of State Health Services or the Department of Aging and Disability Services under Section 534.053, Health and Safety Code; or (B) another mental health or intellectual disability services provider.

This article first became effective on January 1, 2017. It is, however, a recodification of statutory language that was previously located at Article 42.12, Sec. 11(d), Texas Code of Criminal Procedure. The former provision was re-codified in a non-substantive manner during the 2015 legislative session. The substance of this legislation was initially also a part of the 1993 diversion reform efforts.

Put simply, Art. 42A.506 provides the court with the ability to utilize the findings regarding the defendant’s mental illness in the Article 16.22 report (or in a Chapter 46B competency evaluation report) to impose mental health treatment conditions as part of placing a defendant on community supervision. Accordingly, this statute can facilitate certain plea bargain case resolutions by giving the court the authority to include mandatory mental health treatment as a condition of the community supervision. Similarly, a mental health court could also use the statute as a helpful tool. As with Article 17.032 treatment conditions, the court needs to consult with the local mental health authority regarding the availability of appropriate mental health services. Judges, prosecutors, and defense attorneys can and must help facilitate that dialogue. Counties should give strong consideration to providing payment to the mental health authority to fund these services, particularly if the state has not provided adequate funding to the mental health authority. Placing these defendants on a waitlist for mental health services because of a lack of available resources is not an appropriate action for these individuals.

A few important legal matters must be kept in mind in connection with Article 46A.506. First, the statute is not applicable if the defendant is incompetent. The person’s competency must be restored, for example, before a court may accept a plea.

But, once competency has been restored, Article 42A.506 could be employed as a means of assisting a defendant in remaining connected to mental health services as part of community supervision (either via a deferred adjudication or otherwise as authorized by Chapter 46A).

Also, even though Article 46A.506 authorizes a court to condition the defendant’s community supervision on adherence to mental health treatment, the provision does not authorize the court to compel treatment. For example, Article 46A.506 includes no authorization for forced medication such as may be available in appropriate cases following a due process hearing when permitted under Texas Health and Safety Code

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§574.106 or Article 46B.086, Texas Code of Criminal Procedure. Instead, the authority granted by Article 46A.506 to impose a treatment condition is more akin to a situation involving a treatment order as part of an outpatient civil commitment.

See Texas Health and Safety Code § 574.037(c)(3) (“court shall order the patient to participate in the [treatment] program but may not compel performance”). The court’s remedy for noncompliance with a treatment condition imposed under Article 46A.506 would typically be a revocation of community supervision (or, in a mental health court program, a failure by the defendant to comport with the program agreement).

Mental Health Courts. There have also been some impressive efforts to develop mental health courts in an array of Texas counties in recent years. Although most of these have focused on misdemeanors, a few have included felonies. Importantly, as part of S.B 562, the legislature in 2019 added Section 125.005 to the Texas Government Code to require counties with a population of over 200,000 to establish a mental health court program and to seek funds to pay the costs of the program. The only exception is if neither state nor federal funding is obtained despite the county’s required application(s) for such funding. Another new provision added by S.B. 562 authorizes two or more counties to establish a regional mental health court. Texas Government Code § 125.0025. More mental health courts need to be established, and the overall capacity should be increased to better address the large volume of cases.

Trained Attorneys. On a related front, in the last several years the Texas Commission on Indigent Defense has provided generous grants for the development of mental health public defender and mental health private defender offices in a growing number of Texas counties. Collectively, these programs involve specialized and trained attorneys and judges who often work in tandem with caseworkers, treatment teams, and social workers to provide better outcomes for those defendants with mental illness who are caught up in the criminal justice system.

Summary. As a final comment, it is worth observing that the legislature has created a viable framework for allowing, encouraging, and even requiring courts to consider pre-trial diversion and treatment efforts for a great many persons with mental illness who face criminal charges. Unfortunately, for many years there was not much activity within the state to implement statutorily authorized diversion programs. With the enactment of S.B. 1326 in 2017, along with fine-tuning amendments in 2019, that is beginning to change for the better. Courts and counties must now adhere to and implement Article 16.22. Moreover, before 2017, identification and treatment within the jails for persons with mental illness was often lacking, particularly in rural counties. That, too, is changing for the better.

Indeed, Texas sheriffs have been some of the most vocal and persuasive advocates for improving pre-trial identification and services for alleged offenders with mental illness. For these well-intended diversion initiatives to be successful, judges, prosecutors, and law enforcement officials need to work closely with community and state mental health officials to ensure that the legislative intent is carried out.

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Challenges. Although the Legislature has done a laudable job in enacting this array of diversion statutes, the ultimate success of these provisions will depend on increased access and greatly increased availability of comprehensive communitybased mental health and intellectual disability services. If there continue to be inadequate resources for outpatient or inpatient community-based services (and access to housing and transportation), it will be difficult for the judicial system to achieve success.

Added costs for community-based services should, however, be balanced against the potential for reduced criminal justice costs through lower recidivism. Indeed, for many individuals with mental illness, being “judicially” connected to mental health services through diversion from the criminal justice process can result in reduced recidivism and greater use of available mental health services. Unfortunately, this promise does not extend co-equally to all persons with serious mental illness. Some individuals with serious mental illness, particularly those who are homeless and some who have been arrested and re-arrested many times, are not successful in an outpatient or voluntary setting; they require a highly structured placement in inpatient programs. These are often individuals with serious mental illness who are not medication-compliant on a voluntary basis. If, however, they are able to receive treatment through an inpatient civil commitment, the state can also seek an order for forced medication under Chapter 574 of the Health and Safety Code. 12 Medication stability, in turn, can lead to a better chance of success in any later step-down to intensive outpatient services.

In contrast, forced medication orders are not an available legal or practical option for outpatient commitments. For further discussion about the Texas forced medication statutes, see Chapter IV, infra, in connection with the discussion of Article 46B.086, Texas Code of Criminal Procedure.

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IV.

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Texas law has two distinct statutory schemes relating to a criminal defendant’s competency to stand trial—depending on whether the alleged offender is an adult or a juvenile. Accordingly, this chapter is divided into a general discussion of the law pertaining to adults, followed by an analysis of the provisions relating to juveniles.

Then, the final subchapter in this chapter focuses on competency issues in death penalty cases.

As discussed in earlier chapters, persons experiencing the symptoms of serious mental illness often find themselves caught up in the criminal justice system, particularly given our state’s historically under-funded public mental health system.

Although cases involving the insanity defense often grab the headlines, they are relatively rare. By way of contrast, competency issues arise in practically every Texas county every week of the year. Accordingly, an understanding of the criminal competency process is important for judges, prosecutors, and attorneys who represent individuals accused of crimes who have mental disabilities.

A. IN GENERAL THE STANDARD FOR INCOMPETENCY TO STAND TRIAL. Under our legal system, a criminal defendant must be able to understand the proceedings that are being conducted against him or her, or the accused may not undergo trial. See Drope v. Missouri, 420 U.S. 162 (1975). Similarly, the defendant should also be in a position to communicate with and assist his or her legal counsel. Indeed, if the defendant cannot understand the proceedings or assist defense counsel, serious questions concerning fundamental fairness arise. This subchapter focuses on Texas legislative enactments that allow the courts to address issues relating to whether an adult criminal defendant is competent to stand trial for the charged offense.

Many years ago, a former version of the Texas law on competency to stand trial focused on whether the defendant suffered from “present insanity” at the time of trial. Although no longer a part of the law, this antiquated phrase is useful in understanding that the question of competency relates to a criminal defendant’s mental state, not at the time of the events resulting in the criminal charges, but at the time of trial. Unlike the insanity defense, which is discussed in the next chapter, a finding of incompetency to stand trial is not a defense to the crime charged. In other words, a determination of incompetency does not serve to excuse the offense.

Instead, it relates to whether the defendant has the present capacity to stand trial at that time. Moreover, a finding of incompetency to stand trial differs from and should not be confused with a general finding of incompetency (by a civil court) in which a guardian might be appointed and a person’s rights might be limited.

SIGNIFICANT LEGISLATIVE ACTIVITY. During the 2001 legislative session, concerns were raised regarding (1) inconsistencies in competency evaluations and evaluation reports around the state, and (2) wide variations in the expertise, qualifications, and skills of the evaluators conducting competency exams.

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Accordingly, the legislature in 2001 passed S.B. 553, which created a 16-member task force to review the competency evaluation process. The task force was led by former Senator Robert Duncan and former Representative Patty Gray, and included representatives from the judiciary, medical schools, agencies, prosecutors, defense attorneys, psychologists, psychiatrists, and law schools (including the author of this guide book). The task force held hearings over the ensuing eighteen months and developed a number of recommendations to ensure appropriate and consistent application of criminal competency laws. From the very first public hearing, numerous witnesses and experts concurred that the former competency statutes primarily set forth in old Article 46.02, Texas Code of Criminal Procedure, were unduly complex, unwieldy, and difficult to interpret and use. The S.B. 553 Task Force’s report is available at http://www.lrl.state.tx.us/scanned/interim/77/sb1.pdf.

Among its recommendations, the task force strongly urged the enactment of a revamped, new competency statute to streamline the process and ensure consistent application throughout the state. The task force developed proposed legislation that then-Senator Duncan filed as S.B. 1057 during the 2003 legislative session. The bill, which was supported by prosecutors, the defense bar, the judiciary, and organizations of psychiatrists and psychologists, moved rapidly through the legislative process with little debate or controversy. Governor Perry signed the bill into law, and S.B. 1057 went into effect on January 1, 2004. Much of the credit for the successful overhaul of the competency statute must go to Senator Duncan, who skillfully guided the task force through the process of developing a bill that greatly improved Texas law. In addition, recognition should be given to another key member of the task force, the late Judge Robert Cheshire, who spent countless hours developing key provisions of the legislation.

As with most comprehensive statutes, some refinements have been necessary over the last fifteen years. The legislature has returned to the topic of criminal competency in several subsequent sessions and has enacted a number of fine-tuning amendments.

CHAPTER 46B, CODE OF CRIMINAL PROCEDURE. The remaining portions of this subchapter set forth a section-by-section analysis of Chapter 46B, Texas Code of Criminal Procedure, which initially became effective for all competency proceedings initiated on or after January 1, 2004.

Art. 46B.001. Definitions In this chapter: (1) “Adaptive behavior” means the effectiveness with or degree to which a person meets the standards of personal independence and social responsibility expected of the person’s age and cultural group.

(2) “Commission” means the Health and Human Services Commission.

(3) “Competency restoration” means the treatment or education process for restoring a person’s ability to consult with the person’s attorney with a

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reasonable degree of rational understanding, including a rational and factual understanding of the court proceedings and charges against the person.

(4) “Developmental period” means the period of a person’s life from birth through 17 years of age.

(5) “Electronic broadcast system” means a two-way electronic communication of image and sound between the defendant and the court and includes secure Internet videoconferencing.

(6) “Executive commissioner” means the executive commissioner of the Health and Human Services Commission.

(7) “Inpatient mental health facility” has the meaning assigned by Section 571.003, Health and Safety Code.

(8) “Intellectual disability” means significantly subaverage general intellectual functioning that is concurrent with deficits in adaptive behavior and originates during the developmental period.

(9) “Local mental health authority” has the meaning assigned by Section 571.003, Health and Safety Code.

(10) “Local intellectual and developmental disability authority” has the meaning assigned by Section 531.002, Health and Safety Code.

(11) “Mental health facility” has the meaning assigned by Section 571.003, Health and Safety Code.

(12) “Mental illness” means an illness, disease, or condition, other than epilepsy, dementia, substance abuse, or intellectual disability, that grossly impairs: (A) a person’s thought, perception of reality, emotional process, or judgment; or (B) behavior as demonstrated by recent disturbed behavior.

(13) “Residential care facility” has the meaning assigned by Section 591.003, Health and Safety Code.

(14) “Subaverage general intellectual functioning” means a measured intelligence two or more standard deviations below the age-group mean, using a standardized psychometric instrument.

Art. 46B.002. Applicability This chapter applies to a defendant charged with a felony or with a misdemeanor punishable by confinement.

Art. 46B.0021. Facility Designation The commission may designate for the commitment of a defendant under this chapter only a facility operated by the commission or under a contract with the commission for that purpose.

The first three articles set forth in Chapter 46B provide definitions and a statement of general applicability. Of note, Article 46B.002 makes the chapter

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applicable to defendants who have been charged with felonies or with misdemeanors in which they could be punished with jail or prison time. (Thus, other misdemeanor offenses in which fines are the only punishment are excluded. On the other hand, Constitutional requirements for competency should nonetheless be applicable to minor offenses.) In addition, as highlighted in the next subchapter, comparable issues involving juvenile offenders are covered by provisions in the Family Code, not Chapter 46B. It is important to recognize, then, that a competency exam cannot be ordered for a defendant who has been arrested, but who has not yet been charged. If mental illness is suspected or documented, however, there is an ability to consider ordering an assessment under the provisions of Article 16.22, Texas Code of Criminal Procedure, which is discussed in detail in Chapter III above.

As its title suggests, Article 46B.001 sets forth various definitions that apply throughout the overall chapter. In 2019, as a part of S.B. 562, the legislature added items (1)-(6), as well as (8), (12), and (14). The reader should note that the legislature has opted to incorporate by reference several existing legal definitions as set forth in other areas of Texas law, most notably the Texas Health and Safety Code. For other definitions, the legislature has largely repeated existing definitions from the Health and Safety Code. For example, the recently added definition of “mental illness” in subsection (12) is generally consistent with the Health and Safety Code’s definition.

That definition, along with further descriptions of specific serious mental illnesses, is discussed in detail in Chapter II, supra.

THE STANDARD FOR INCOMPETENCY TO STAND TRIAL HAS NOT CHANGED. The next article in Chapter 46B identifies the standard for incompetency to stand trial, as well as a key legal presumption.

Art. 46B.003. Incompetency; Presumptions (a) A person is incompetent to stand trial if the person does not have: (1) sufficient present ability to consult with the person’s lawyer with a reasonable degree of rational understanding; or (2) a rational as well as factual understanding of the proceedings against the person. (b) A defendant is presumed competent to stand trial and shall be found competent to stand trial unless proved incompetent by a preponderance of the evidence.

In enacting Chapter 46B the legislature did not intend to change the underlying standard for incompetency. These provisions, sometimes called the Dusky standards, were established by the United States Supreme Court many years ago in the case of Dusky v. United States, 362 U.S. 402 (1960). A person is incompetent to stand trial on criminal charges if that person either (1) cannot communicate with his or her lawyer with a reasonable degree of rational understanding, OR (2) does not have a rational and factual understanding of the ongoing proceedings at that time. Accordingly,

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under Chapter 46B, the focus is on whether the criminal defendant possesses sufficient mental competency to stand trial with respect to the charged offense(s). In addition, as a general matter, the defendant has the burden of proving that he or she lacks competency to stand trial by a preponderance of the evidence. Thus, the defendant must demonstrate with evidence that it is more likely than not that he or she is presently incompetent to stand trial. Otherwise, the defendant is presumed to be competent to stand trial. (Compare, however, the discussion of Manning v. State, 730 S.W. 744, 748 (Tex. Crim. App. 1987), infra, regarding a shift in the burden of proof in certain cases involving an unvacated prior adjudication of incompetence.) In addition, mere evidence that the defendant is suffering from a mental illness is legally insufficient to establish that the defendant is incompetent to stand trial.

Instead, the evidence must support either of the two criteria identified in this section.

See Moore v. State, 999 S.W.2d 385, 395 (Tex. Crim. App. 1999).

On a related note, given the general rules regarding competency, a criminal conviction should not stand if indeed the defendant was incompetent to stand trial but was tried nonetheless. See Morales v. State, 587 S.W.2d 418, 421 (Tex. Crim. App. [Panel Op.] 1979). Moreover, if a defendant is incompetent to stand trial, that defendant is also incompetent to plead guilty to an offense. See Ex parte Lewis, 587 S.W.2d 697, 700 (Tex. Crim. App. [Panel Op.] 1979). It is logically inconsistent to suggest that a defendant understands the ramifications of a guilty plea if the defendant is truly incompetent and, accordingly, unable to understand the proceedings against him or her. Although the Supreme Court has held that the general competency standard for pleading guilty is no higher than the standard for standing trial, the Court has acknowledged that a defendant must knowingly and voluntarily enter any guilty plea. Godinez v. Moran, 113 S.Ct. 2680, 2687-88 (1993).

A defendant with mental illness might also be competent to proceed, but still not be viewed as sufficiently competent to be allowed to insist on proceeding without counsel. Consider the 2008 decision of Indiana v. Edwards, 128 S.Ct. 2379 (2008), in which the United States Supreme Court determined that the Constitution does not preclude a state from rejecting a mentally ill defendant’s request for selfrepresentation and requiring that the defendant proceed to trial with counsel, even when the court viewed the defendant to be otherwise competent to proceed. The Court reasoned that the Drope competency “standards assume representation by counsel and emphasize the importance of counsel,” and that given such a defendant’s uncertain mental state, self-representation “threatens an improper conviction or sentence” and undercuts the prospect of a fair trial.

For an appalling case in which a Texas court inexplicably allowed a defendant with serious mental illness whose competence was questionable to represent himself at trial, consider the facts of Panetti v. Quarterman, 551 U.S. 930, 949-52 (2007).

Despite a lengthy history of psychiatric illness and bizarre behavior both before and during trial, the trial court found Panetti competent both to stand trial and to waive counsel and represent himself at trial. Id. at 936-37. For a thoughtful discussion of Panetti, see Richard J. Bonnie, Commentary, Panetti v. Quarterman: Mental Illness, the Death Penalty, and Human Dignity, 5 Ohio St. J. Crim. L. 257, 257 (2007)

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(asserting that Panetti exposed “the utter failure of the criminal justice system to take adequate account of the effects of severe mental illness in capital cases, specifically by failing to assure a fair defense for defendants with mental disabilities, by failing to give morally appropriate mitigating effect to claims of diminished responsibility” and in not correcting “these deficiencies in post-conviction proceedings”). Compare, however, Long v. State, 525 S.W.3d 351, 369-70 (Tex. App. – Houston [14th Dist.] 2017, no pet.), in which the court relied on Indiana v. Edwards to uphold the trial court’s rejection of the defendant’s request for self-representation despite having been found competent to stand trial.

RAISING THE INCOMPETENCY ISSUE. The incompetency statutes require a separation of the proceedings to determine whether a defendant is incompetent to stand trial from the actual trial on the merits of the case. In general, questions about competency should ordinarily be resolved at the outset of the proceedings, before commencement of the trial on the merits. Of course, it is possible that the issues relating to a defendant’s competency will not manifest themselves until after the criminal trial has begun.

Art. 46B.004. Raising Issue of Incompetency to Stand Trial (a) Either party may suggest by motion, or the trial court may suggest on its own motion, that the defendant may be incompetent to stand trial. A motion suggesting that the defendant may be incompetent to stand trial may be supported by affidavits setting out the facts on which the suggestion is made. (b) If evidence suggesting the defendant may be incompetent to stand trial comes to the attention of the court, the court on its own motion shall suggest that the defendant may be incompetent to stand trial. (c) On suggestion that the defendant may be incompetent to stand trial, the court shall determine by informal inquiry whether there is some evidence from any source that would support a finding that the defendant may be incompetent to stand trial. (c-1) A suggestion of incompetency is the threshold requirement for an informal inquiry under Subsection (c) and may consist solely of a representation from any credible source that the defendant may be incompetent. A further evidentiary showing is not required to initiate the inquiry, and the court is not required to have a bona fide doubt about the competency of the defendant.

Evidence suggesting the need for an informal inquiry may be based on observations made in relation to one or more of the factors described by Article 46B.024 or on any other indication that the defendant is incompetent within the meaning of Article 46B.003. (d) If the court determines there is evidence to support a finding of incompetency, the court, except as provided by Subsection (e) and Article 46B.005(d), shall stay all other proceedings in the case. (e) At any time during the proceedings under this chapter after the issue of the defendant’s incompetency to stand trial is first raised, the court on the motion

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of the attorney representing the state may dismiss all charges pending against the defendant, regardless of whether there is any evidence to support a finding of the defendant’s incompetency under Subsection (d) or whether the court has made a finding of incompetency under this chapter. If the court dismisses the charges against the defendant, the court may not continue the proceedings under this chapter, except that, if there is evidence to support a finding of the defendant’s incompetency under Subsection (d), the court may proceed under Subchapter F. If the court does not elect to proceed under Subchapter F, the court shall discharge the defendant.

Article 46B.004 includes language to encourage early and prompt court review and evaluations of persons who might lack competency to be tried. With regard to raising the issue of incompetency with the court, Article 46B.004 intentionally uses terms such as “suggest” and “suggestion” with regard to when a court must conduct an informal inquiry to determine whether there is evidence from any source that would support a finding of incompetency to stand trial. These terms are in contrast to earlier case law interpreting former Art. 46.02 that required a judge to have a “bona fide doubt” prior to conducting such an informal inquiry. Cf. McDaniel v. State, 98 S.W.3d 704 (Tex. Crim. App. 2003). The language used in Article 46B.004 was specifically intended to expand the scope of situations in which the trial court must conduct an informal inquiry to assess whether there is some evidence – from any credible source – regarding the defendant’s possible incompetency. The revised statute was intended to make it easier than under the old law to raise the incompetency issue before trial.

During the S.B. 553 task force process, the members were very intentional in moving away from a limiting standard such as McDaniel’s “bona fide doubt” approach. Accordingly, defense counsel or the prosecution should file a motion with the court to suggest that the defendant lacks competency to stand trial before the date set for the trial if there is any indication of the person’s lack of competency.

Article 46B.004 also allows the judge to act on his or her own motion. This situation would likely occur in a case in which the judge believes that there are indications of a lack of competency despite the lack of any written motion to that effect by defense counsel or the prosecutor. Moreover, subsections (b) and (c) mandate that the court conduct an informal inquiry if any evidence suggesting the defendant’s lack of competency comes to the attention of the judge.

Unfortunately, subsequent to Chapter 46B’s 2004 effective date, the Texas courts by and large failed to take note that the legislature had intentionally changed the law in Article 46B.004(a)-(c) away from the old “bona fide doubt” standard through the use of the new terms, “suggest” and “suggestion.” Indeed, a number of courts of appeal continued to apply the former standard, and the “bona fide doubt” approach was then resurrected and upheld by the Court of Criminal Appeals in Montoya v.

State, 291 S.W.3d 420, 425 (Tex. Crim. App. 2009). As a direct response to Montoya, however, the legislature added Tex. Crim. Proc. art. 46B.004(c-1) in 2011. (The author of this guide book assisted in drafting subsection (c-1) for then-Senator Robert

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Duncan.) Under subsection (c-1), the legislature has stated emphatically that the “bona fide doubt” standard is no longer the law. See also Turner v. State, 422 S.W.3d 676, 692-93 (Tex. Crim. App. 2013) (recognizing that the legislature in 2011 had rejected Montoya and the “bona fide doubt” standard).

Under Article 46B.004, if a suggestion of incompetency has been made through either subsection (a) or (b), subsection (c) requires the court to conduct an informal inquiry to assess whether there is “some evidence from any source” that would support a finding that the defendant may be incompetent. Thus, the present quantum of evidence necessary to raise an issue of competency is “a suggestion of incompetency,” and upon “some evidence from any source that would support a finding that the defendant may be incompetent to stand trial,” and “may consist solely of a representation from any credible source that the defendant may be incompetent.” Then, upon a showing of “some evidence” at the informal inquiry, the court is required to stay other proceedings and move forward to Article 46B.005 to order a competency examination.

As under prior law, any person can produce evidence of the defendant’s incompetency to stand trial, not just the defendant or defense counsel. Thus, a family member, a sheriff or deputy, a prosecutor, a mental health care worker, or some other interested person may come forward and offer evidence or information about the defendant’s lack of competency to be tried.

Once the judge makes a determination that there is some evidence of incompetency from any source, then all other pending proceedings in the case must be halted – unless, per Article 46B.005(d), the issue has been raised after the trial has begun, or if the prosecutor dismisses the charges per subsection (e). Thus, in the typical case in which incompetency issues are raised prior to the trial on the merits, other proceedings will be stayed once some evidence of incompetency is determined to exist.

It is worth noting that there was no intent in enacting the “some evidence” language to diverge from prior law with regard to the requisite evidentiary threshold for establishing that there is “some evidence.” For example, under prior law the court was required to conduct further incompetency proceedings upon the introduction of some probative evidence, more than a scintilla, regarding the defendant’s lack of competency. See Sisco v. State, 599 S.W.2d 607, 613 (Tex. Crim. App. 1980).

Similarly, and as described more recently by the Court of Criminal Appeals, In making this determination, a trial court must consider only that evidence tending to show incompetency, putting aside all competing indications of competency, to find whether there is some evidence, a quantity more than none or a scintilla, that rationally may lead to a conclusion of incompetency.

If so, then evidence exists to support a finding of incompetency, and the statutory scheme requires the trial court to conduct a formal competency trial.

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Turner v. State, 422 S.W.3d 676, 692-93 (Tex. Crim. App. 2013) (internal quotations and citations omitted). The court in Turner also indicated that even when a defendant might initially be deemed competent, the trial court should “remain ever vigilant for changes in circumstances that would make a formal adjudication [of competency] appropriate.” Id. at 693.

More recently, the Court of Criminal Appeals revisited these provisions in Boyett v. State, 545 S.W.3d 556 (Tex. Crim. App. 2018). In Boyett, defense counsel filed a motion raising the issue of the defendant’s competency, and the trial court proceeded to an informal inquiry. Id. at 558-59. At the conclusion of the informal inquiry, the court determined that “the evidence [was] insufficient to support a finding of incompetence and resumed the trial ….” Id. at 561. On appeal, the defendant challenged the trial court’s refusal to order a competency evaluation and conduct a competency trial. Id. The court of appeals affirmed. The Court of Criminal Appeals, however, ultimately determined that the court of appeals erred by not focusing solely on evidence of incompetency at the informal inquiry stage, and by improperly applying a “substantial possibility” of incompetency standard, rather than the “some evidence” standard required for an informal inquiry. Id. at 565-66.

There is typically no benefit in waiting for any significant period before urging the trial court to conduct an informal inquiry, and if some credible evidence suggests incompetence, the court must order a competency examination. Counsel should try to avoid any unnecessary delay, inasmuch as obtaining a competency report will, by statute, require as much as thirty days, with a possible extension for good cause. See infra Article 46B.026, Texas Code of Criminal Procedure. The caveat to this approach, however, may depend on the availability of jail psychiatric services. That is, if the county jail is providing appropriate jail psychiatric services and is both aggressively screening inmates and prescribing psychoactive medications, then it may be desirable simply to suggest a 14-21 day pause if the defendant has been examined and medication prescribed, but there has been insufficient time to stabilize the person (which is often 14-21 days or less).

Legislation in 2005 added subsection (e), which addresses situations in which the prosecutor elects to dismiss charges after an incompetency issue has been raised. The court may then dismiss the charges regardless of whether evidence supports a finding of the defendant’s incompetency. As a general matter, no further competency proceedings should take place. However, should the court be of the view that evidence supports a finding of incompetency, the court may (and should) proceed under Subchapter F of Chapter 46B. That subchapter, which as of 2019 includes only Article 46B.151, permits the court to enter an order transferring the defendant to the appropriate court for civil commitment proceedings. (Article 46B.151 is discussed in detail, infra.)

WHAT HAPPENS ONCE THE COURT MAKES A DETERMINATION THAT EVIDENCE EXISTS TO SUPPORT A FINDING OF INCOMPETENCY? Prior to 2004, if a court determined that there was evidence to support the possibility of a defendant’s incompetency, the court had to convene a jury trial solely to address

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the defendant’s possible lack of competency. By way of contrast, Chapter 46B made substantial changes to the procedures that follow this initial determination. These are included, in significant part, in Article 46.05.

Art. 46B.005. Determining Incompetency to Stand Trial (a) If after an informal inquiry the court determines that evidence exists to support a finding of incompetency, the court shall order an examination under Subchapter B to determine whether the defendant is incompetent to stand trial in a criminal case. (b) Except as provided by Subsection (c), the court shall hold a trial under Subchapter C before determining whether the defendant is incompetent to stand trial on the merits. (c) A trial under this chapter is not required if: (1) neither party’s counsel requests a trial on the issue of incompetency; (2) neither party’s counsel opposes a finding of incompetency; and (3) the court does not, on its own motion, determine that a trial is necessary to determine incompetency. (d) If the issue of the defendant’s incompetency to stand trial is raised after the trial on the merits begins, the court may determine the issue at any time before the sentence is pronounced. If the determination is delayed until after the return of a verdict, the court shall make the determination as soon as reasonably possible after the return. If a verdict of not guilty is returned, the court may not determine the issue of incompetency.

First, if the court has determined in the informal inquiry that there indeed exists evidence to support a finding of incompetency, the court must order a competency examination. (The legislature intentionally included the word “shall.”) But see State v. Lopez, 563 S.W.3d 409, 417 (Tex. App. – San Antonio 2018, pet. granted, March 19, 2019) (recognizing that Art. 46B.005(a) “imposes a mandatory duty on the trial court” to appoint an expert, but finding no error where the trial court instead dismissed the case given the prosecution’s violation of the defendant’s constitutional right to a speedy trial given the lapse of time following arrest). 13 Moreover, unlike under earlier law, there is no default requirement for a jury trial to determine incompetency.

Indeed, Article 46B.005(c) relieves the court from having to hold a trial – at all – on the question of the defendant’s incompetency if (1) neither party’s counsel requests a trial on the issue, (2) neither party’s counsel opposes a finding of incompetency, and (3) the court does not decide, on its own motion, that a trial on incompetency is necessary. Thus, the parties and court can agree that the defendant lacks competency to stand trial. Moreover, as will be discussed infra, even when a trial on incompetency is undertaken either because a party has opposed the finding of incompetency or the court has ordered an incompetency trial on its own motion, no

As of October 5, 2019, when this chapter was completed for publication, the Court of Criminal Appeals had not issued an opinion in the State’s appeal.

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jury trial is required unless either party affirmatively requests a jury (or on the court’s own motion). Art. 46B.051(a).

These provisions represent a substantial and significant change from prior law.

The S.B. 553 task force determined that the issue of incompetency was unopposed in 80-90% of all cases in which the issue arose. Nonetheless, substantial judicial resources were being expended to conduct jury trials despite any opposition to the determination of incompetency. In addition, research was provided to the task force which revealed that many counties were improperly selecting “pick up” juries to conduct incompetency hearings (in which courthouse personnel or other citizens were being rounded up to sit as jurors without all the usual procedures for juror identification and selection). In sum, the task force concluded that the former “practice of [utilizing] ‘pick up’ juries or utilizing a jury when all parties agree to the competency issue is not a sound practice.” S.B. 553 Task Force Report, at 10, available at http://www.lrl.state.tx.us/scanned/interim/77/sb1.pdf. Thus, Article 46B.005(c) authorizes the court to forego a trial on the incompetency issue when none is sought, neither party objects, and the court is not of the view that it should order an incompetency trial on its own motion. The defendant’s state constitutional right to a jury trial on the issue, however, is nonetheless preserved because the defendant can oppose a finding of incompetency and demand a jury trial on the issue.

ISSUE OF INCOMPETENCY ARISING AFTER BEGINNING OF TRIAL ON THE MERITS. Although the better practice is to resolve incompetency issues prior to the trial on the merits, Subsection 46B.005(d) carries forward language from prior law relating to procedural steps to be employed if the issue of incompetency does not arise until after the trial on the merits has begun. It should not be surprising to those who have knowledge of serious mental illnesses that a situation could arise in which a defendant diagnosed with mental illness might have been stabilized on medication prior to and at the outset of trial, but later suffer a relapse of the symptoms of the illness during the proceedings. Given the stresses of a criminal trial, some defendants might decompensate during the course of the process.

Others might stop taking prescribed antipsychotic medication. Accordingly, the statute authorizes the court to consider questions about the defendant’s incompetency even after the trial has begun. Moreover, the failure to pursue a review of the defendant’s incompetency before the trial on the merits does not waive the opportunity to raise the question at a later stage of the proceedings. Case law interpreting the predecessor statute pointed out that evidence “may come from the trial court’s own observations, known facts, evidence presented, motions, affidavits, or any other claim or credible source.” Brown v. State, 960 S.W.2d 772, 774 (Tex. App. – Dallas 1997, pet. ref’d). Subsection (d) allows the court to determine the issue at any time before the sentence is pronounced. Thus, the court can halt the proceedings and undertake a competency determination at the time there is evidence of incompetency or wait until after a verdict is returned. As with a case in which the question is considered prior to the trial on the merits, per Subsection (c) no trial on incompetency will be required if the issue is not contested. Moreover, the trial on incompetency can be held before the court unless either party requests a jury. It should be noted, however, that if a jury trial is sought on the issue of incompetency,

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as under prior law the court should conduct the more limited trial on the incompetency issue outside the presence of the jury that is considering the merits.

Per subsection (d), as under the former law, the judge can allow the criminal trial to be completed and undertake incompetency proceedings after the return of a verdict and before pronouncement of sentence. If the judge opts not to conduct the incompetency review immediately upon the raising of the issue, an incompetency trial is not necessary, or even allowed, if the jury acquits the defendant. For purposes of judicial economy, many courts have traditionally pursued this latter approach to avoid suspending ongoing trials. If, however, the incompetency assessment is postponed until post-trial, a finding of guilty will not be allowed to stand if the defendant is found to be incompetent. Additionally, given that the defendant may truly be incompetent to understand the proceedings or assist in his or her own defense, at some level it is conceptually incongruous to postpone an incompetency proceeding until after the trial on the merits. It would seem that the purposes of assuring that the defendant is able to understand the ongoing proceedings and assist in his or her defense could well be skewed if the judge does not proceed to resolve the incompetency issue at the time it arises.

NO INTERLOCUTORY APPEAL. Although taken out of numerical order, it is appropriate to mention Article 46B.011 at this point in our discussion.

Art. 46B.011. Appeals. Neither the state nor the defendant is entitled to make an interlocutory appeal relating to a determination or ruling under Article 46B.005.

This provision bars interlocutory appeals of determinations or rulings made by a court pursuant to the foregoing section, Article 46B.005, at the time of such rulings.

Any appeal relating to such issues would have to be raised at the conclusion of the ensuing proceedings.

WHEN TO APPOINT COUNSEL. One concern that was raised before the S.B. 553 task force was the frequent situation of a defendant being ordered to undergo a competency evaluation prior to the appointment of legal counsel. Under prior law, subsection 4(b) of old Art. 46.02 only required appointment of counsel “prior to the competency hearing.” The law was vague about requiring such an appointment prior to any competency exam. Article 46B.006 provides specific direction as to this issue.

Art. 46B.006. Appointment of and Representation by Counsel (a) A defendant is entitled to representation by counsel before any courtordered competency evaluation and during any proceeding at which it is suggested that the defendant may be incompetent to stand trial. (b) If the defendant is indigent and the court has not appointed counsel to represent the defendant, the court shall appoint counsel as necessary to comply with Subsection (a).

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Article 46B.006 requires the court to appoint counsel for an indigent defendant prior to any court-ordered competency evaluation and during any proceeding in which it has been suggested that the defendant might not be competent to stand trial. This, coupled with the provisions of the Indigent Defense Act, should assure that a defendant does not undergo important aspects of a criminal matter – such as an incompetency proceeding or evaluation – prior to the appointment of legal representation. Moreover, given the provisions of Article 46B.005 in which a defendant can waive the right to a jury trial on the question of incompetency or potentially waive the right to a trial on the issue at all, it is important that the individual be represented by counsel – and, preferably, by counsel who has received continuing education and is knowledgeable about the competency statutes and related mental health proceedings.

USE OF STATEMENTS MADE BY A DEFENDANT AT AN EXAM OR HEARING ON INCOMPETENCY.

Art. 46B.007. Admissibility of Statements and Certain Other Evidence. A statement made by a defendant during an examination or trial on the defendant’s incompetency, the testimony of an expert based on that statement, and evidence obtained as a result of that statement may not be admitted in evidence against the defendant in any criminal proceeding, other than at: (1) a trial on the defendant’s incompetency; or (2) any proceeding at which the defendant first introduces into evidence a statement, testimony, or evidence described by this article.

Article 46B.007 places greater limitations on the use of statements made by a defendant during an examination or at an incompetency trial, or the testimony of an expert based on those statements, than under prior law. Subsection 3(g) of former Art. 46.02 stated, “No statement made by the defendant during the examination or the hearing on his competency to stand trial may be admitted in evidence against the defendant on the issue of guilt in any criminal proceeding.” Thus, although the predecessor statute precluded the later use of statements made by the defendant during an incompetency exam or incompetency trial at the ensuing trial on the merits, the statute did not expressly bar the use of such statements for other purposes, such as during the punishment phase of the criminal proceeding.

By way of contrast, Article 46B.007 was intentionally drafted to be much broader in scope than prior law. It excludes statements made by the defendant during an incompetency exam or incompetency trial, if any, except at the incompetency trial or in any later criminal proceeding – unless the defense first opens the door by introducing such statements from an examination or the prior incompetency trial. In this regard, consider Johnson v. State, No. 13-15-00461-CR, 2017 Tex. App. LEXIS 9769 (Tex. App. – Corpus Christi, pet. ref’d) (holding that it was error for the trial court to have allowed statements from a competency examination to be used as impeachment of an expert during a punishment trial when the defendant had not

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first opened the door by introducing any statement she made during her competency examination; nonetheless, finding error to be harmless).

RULES OF EVIDENCE. Article 46B.008 was included to require that the Rules of Evidence apply to any incompetency trial under the revised statutory scheme regardless of whether it is conducted before the court or in front of a jury.

Art. 46B.008. Rules of Evidence. Notwithstanding Rule 101, Texas Rules of Evidence, the Texas Rules of Evidence apply to a trial under Subchapter C or other proceeding under this chapter whether the proceeding is before a jury or before the court.

CREDIT FOR TIME SERVED. If a person is ultimately convicted of a crime, the court must provide a credit to the person’s sentence for any time that the person has been confined in a mental health facility, residential care facility, or jail pending trial.

Art. 46B.009. Time Credits. A court sentencing a person convicted of a criminal offense shall credit to the term of the person’s sentence each of the following periods for which the person may be confined in a mental health facility, residential care facility, or jail: (1) any period of confinement that occurs pending a determination under Subchapter C as to the defendant’s competency to stand trial; and (2) any period of confinement that occurs between the date of any initial determination of the defendant’s incompetency under that subchapter and the date the person is transported to jail following a final judicial determination that the person has been restored to competency.

This provision is very similar to section 9 of the old Art. 46.02, and provides quite succinctly that, once a person is sentenced upon conviction, the judge must credit the time spent in incompetency proceedings in a mental health facility, residential care facility, or jail to the term of the sentence. This section has long represented an attempt by the legislature to provide a measure of fairness in the sentencing process.

Were the time not credited toward a convicted defendant’s sentence, an individual who has spent time in a mental health facility attaining competency before being convicted could be deprived of his or her liberty for a much longer period than a person convicted of the same offense who remains competent throughout the criminal proceedings. Legislation enacted in 2011 added subsection (2) to clarify that time credits should also extend to time spent in jail after an adjudication of incompetency and prior to being sent to a facility or outpatient placement for competency restoration treatment.

CONTINUITY OF CARE. Although Art. 46B.009 provides a time credit in the event of an ultimate conviction, the section does not, however, address any time credits in other situations. The S.B. 553 task force heard testimony that it is not unheard of for a defendant to spend more time in one or more mental health facilities as a result of competency proceedings than would have been spent in jail or prison

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upon a conviction. In effect, the defendant can be caught in a revolving door between the county jail and the state hospital for years on end. For example, suppose a person is found incompetent and sent for competency restoration treatment. Typically, that treatment will be effective, particularly in the case of treatment for mental illness.

The person will become competent, and then be returned to the county jail to face the pending criminal charges. Unfortunately, however, all too often jails have not continued the treatment begun at the state hospital or the criminal proceedings are unduly delayed. Then, in all too many cases, the person’s mental condition deteriorates and the person is once again incompetent to proceed. Accordingly, it is hardly surprising that defense counsel and defendants with mental illness were traditionally reluctant to raise the competency issue when the potential criminal sentence involved relatively brief jail time.

Given this issue, in early editions of this book we argued that, as a matter of policy, the legislature should consider amending the act to preclude a person from spending more time in jail awaiting trial and in mental health or residential care facilities as a result of competency proceedings than the person would have faced following an immediate trial or guilty plea. Although the underlying purpose of any criminal or civil commitment differs from the reasons for punishment in jail or prison, the defendant will ultimately have been deprived of his or her liberty for a similar period under either scenario. Alternatively, we urged that until the legislature enacted this type of change to the prior law, prosecutors should consider exercising their considerable discretion to dismiss charges once a defendant spent as much time in a holding pattern between the criminal competency proceedings and mental health facilities as would likely have been spent in jail or prison as a result of a conviction. Happily, in more recent legislative sessions, the legislature has endeavored to address this revolving door problem in several ways.

Art. 46B.0095. Maximum Period of Facility Commitment or Outpatient Treatment Program Participation Determined by Maximum Term for Offense. (a) A defendant may not, under Subchapter D or E or any other provision of this chapter, be committed to a mental hospital or other inpatient or residential facility or to a jail-based competency restoration program, ordered to participate in an outpatient competency restoration or treatment program, or subjected to any combination of inpatient treatment, outpatient competency restoration or treatment program participation, or jail-based competency restoration under this chapter for a cumulative period that exceeds the maximum term provided by law for the offense for which the defendant was to be tried, except that if the defendant is charged with a misdemeanor and has been ordered only to participate in an outpatient competency restoration or treatment program under Subchapter D or E, the maximum period of restoration is two years. (b) On expiration of the maximum restoration period under Subsection (a), the mental hospital, facility, or program provider identified in the most recent order of commitment or order of outpatient competency restoration or treatment

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program participation under this chapter shall assess the defendant to determine if civil proceedings under Subtitle C or D, Title 7, Health and Safety Code, are appropriate. The defendant may be confined for an additional period in a mental hospital or other facility or may be ordered to participate for an additional period in an outpatient treatment program, as appropriate, only pursuant to civil proceedings conducted under Subtitle C or D, Title 7, Health and Safety Code, by a court with probate jurisdiction. (c) The cumulative period described by Subsection (a): (1) begins on the date the initial order of commitment or initial order for outpatient competency restoration or treatment program participation is entered under this chapter; and (2) in addition to any inpatient or outpatient competency restoration periods or program participation periods described by Subsection (a), includes any time that, following the entry of an order described by Subdivision (1), the defendant is confined in a correctional facility, as defined by Section 1.07, Penal Code, or is otherwise in the custody of the sheriff during or while awaiting, as applicable: (A) the defendant’s transfer to: (i) a mental hospital or other inpatient or residential facility; or (ii) a jail-based competency restoration program; (B) the defendant’s release on bail to participate in an outpatient treatment program; or (C) a criminal trial following any temporary restoration of the defendant’s competency to stand trial. (d) The court shall credit to the cumulative period described by Subsection (a) any time that a defendant, following arrest for the offense for which the defendant was to be tried, is confined in a correctional facility, as defined by Section 1.07, Penal Code, before the initial order of commitment or initial order for outpatient treatment program participation is entered under this chapter. (e) In addition to the time credit awarded under Subsection (d), the court may credit to the cumulative period described by Subsection (a) any good conduct time the defendant may have been granted under Article 42.032 in relation to the defendant’s confinement as described by Subsection (d).

This provision was first added by S.B. 867 in 2007, and it has been amended and clarified multiple times since then. It addresses the problem identified above by limiting the total amount of time a defendant can spend in incompetency proceedings and related pre-trial transfers to the maximum sentence possible for the pending charges. The one key exception identified in subsection (a) is for outpatient competency restoration treatment ordered under Subchapters D or E of Chapter 46B, for which a maximum cumulative period of two years may be authorized (and which might exceed the possible sentencing). See also Ex Parte Reinke, 370 S.W.3d 387, 388 (Tex. Crim. App. 2012) (holding that the maximum period set forth in the statute is the sentence specified by the offense itself, and that maximum period does not

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include possible enhancements due to prior convictions). Note, however, that although no requirement exists for time credits as would apply to outpatient competency restoration services, a person charged with a Class A misdemeanor may be committed to such a program for 120 days, with a possible 60-day extension. See infra Article 46B.072(b) and related discussion.

Subsection (b) includes a process by which a person who is still in need of commitment for mental health treatment even after the maximum period identified by subsection (a) has been reached, can be ordered to receive treatment. The statute allows the state to seek that care, however, only through civil commitment proceedings conducted in front of a court with probate jurisdiction. At that point there is no longer a basis for the criminal court’s involvement.

Subsection (c) provides that the maximum cumulative period described by the statute begins on the date of the initial competency commitment order and includes any additional time in which the defendant remains in jail after the signing of the order and prior to being transferred to, as applicable, an inpatient facility or outpatient placement. Unfortunately, in many counties and given a persistent problem of state-wide backlogs for available forensic hospital bed space, this maximum cumulative period can often be reached given these delays. Legislation enacted in 2017 added references to possible jail-based competency restoration as an alternative.

It is also important to note subsection (d) which requires the court to credit to the cumulative period any amount of time in which the defendant is held in jail following arrest that comes prior to the initial order of commitment or for outpatient treatment. In addition, subsection (e) permits the court also to credit any good conduct time.

This statute requires the courts to have an effective means of keeping track of the appropriate timeframes, and it is incumbent on counsel to do the same. For certain offenses, e.g., Class B misdemeanors, the prospect of the defendant “timing out” under this statute is particularly relevant.

Art. 46B.010. Mandatory Dismissal of Misdemeanor Charges. If a court orders that a defendant charged with a misdemeanor punishable by confinement be committed to a mental hospital or other inpatient or residential facility or to a jail-based competency restoration program, that the defendant participate in an outpatient competency restoration or treatment program, or that the defendant be subjected to any combination of inpatient treatment, outpatient competency restoration or treatment program participation, or jail-based competency restoration under this chapter, and the defendant is not tried before the expiration of the maximum period of restoration described by Article 46B.0095: (1) on the motion of the attorney representing the state, the court shall dismiss the charge; or

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(2) on the motion of the attorney representing the defendant and notice to the attorney representing the state, the court: (A) shall set the matter to be heard not later than the 10th day after the date of filing of the motion; and (B) may dismiss the charge on a finding that the defendant was not tried before the expiration of the maximum period of restoration.

With regard to misdemeanor offenses, Article 46B.010 works in tandem with Article 46B.0095 to generally require a dismissal of charges for misdemeanors punishable by incarceration if the defendant has not been tried prior to the maximum period of restoration described in Art. 46B.0095. This provision is further recognition that substantial time can elapse before trial if a defendant is cycling between competency restoration and any subsequent relapse(s). This statute, along with Article 46B.0095, should serve as encouragement to local prosecutors to proceed to trial promptly upon a person’s return to the county jail after competency restoration.

LACK OF COMPLIANCE WITH CHAPTER. Article 46B.012 provides that a lack of appropriate compliance with the provisions of the Chapter will not operate as a basis for the defendant to obtain a dismissal of the charges.

Art. 46B.012. Compliance with Chapter. The failure of a person to comply with this chapter does not provide a defendant with a right to dismissal of charges.

INTERACTIVE VIDEO HEARINGS. Subchapter A of Chapter 46B concludes with a section that authorizes interactive video hearings. Article 46B.013 was added

by S.B. 679 in 2005 primarily to address concerns relating to transfers of individuals serving long-term commitments. Consider, by way of an example, a situation involving a person whose competency has not been restored. As will be described below, should the charges remain pending, eventually that individual’s continued commitment will need to be the subject of civil commitment proceedings for extended hospitalization. It is arguably both more efficient and humane to authorize interactive video hearings between the state hospital and the committing court, rather than transporting the individual back to the county jail to await a further hearing before the committing court, and then transporting that individual back to the state hospital. In addition, doing so can avoid the prospect that the person will “lose” a coveted bed at a state hospital.

Art. 46B.013. Use of Electronic Broadcast System in Certain Proceedings under this Chapter. (a) A hearing may be conducted using an electronic broadcast system as permitted by this chapter and in accordance with the other provisions of this code if: (1) written consent to the use of an electronic broadcast system is filed with the court by: (A) the defendant or the attorney representing the defendant; and (B) the attorney representing the state;

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(2) the electronic broadcast system provides for a simultaneous, compressed full motion video, and interactive communication of image and sound between the judge, the attorney representing the state, the attorney representing the defendant, and the defendant; and (3) on request of the defendant or the attorney representing the defendant, the defendant and the attorney representing the defendant are able to communicate privately without being recorded or heard by the judge or the attorney representing the state. (b) On the motion of the defendant, the attorney representing the defendant, or the attorney representing the state or on the court's own motion, the court may terminate an appearance made through an electronic broadcast system at any time during the appearance and require an appearance by the defendant in open court. (c) A recording of the communication shall be made and preserved until any appellate proceedings have been concluded. The defendant may obtain a copy of the recording on payment of a reasonable amount to cover the costs of reproduction or, if the defendant is indigent, the court shall provide a copy to the defendant without charging a cost for the copy.

EXPERTS AND EVALUATIONS. Subchapter B of Chapter 46B addresses both the qualifications and appointment of experts and the evaluation process. This portion of S.B. 1057 enacted significant changes from prior law.

Art. 46B.021. Appointment of Experts. (a) On a suggestion that the defendant may be incompetent to stand trial, the court may appoint one or more disinterested experts to: (1) examine the defendant and report to the court on the competency or incompetency of the defendant; and (2) testify as to the issue of competency or incompetency of the defendant at any trial or hearing involving that issue. (b) On a determination that evidence exists to support a finding of incompetency to stand trial, the court shall appoint one or more experts to perform the duties described by Subsection (a). (c) An expert involved in the treatment of the defendant may not be appointed to examine the defendant under this article. (d) The movant or other party as directed by the court shall provide to experts appointed under this article information relevant to a determination of the defendant’s competency, including copies of the indictment or information, any supporting documents used to establish probable cause in the case, and previous mental health evaluation and treatment records. (e) The court may appoint as experts under this chapter qualified psychiatrists or psychologists employed by the local mental health authority or local intellectual and developmental disability authority. The local mental health

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authority or local intellectual and developmental disability authority is entitled to compensation and reimbursement as provided by Article 46B.027. (f) If a defendant wishes to be examined by an expert of the defendant’s own choice, the court on timely request shall provide the expert with reasonable opportunity to examine the defendant.

APPOINTMENT OF EXPERTS. Art. 46B.021 addresses the appointment of experts. Subparts (a) and (b) relate to the timing of these appointments. Under subsection (a) if there has been a suggestion to the court that the defendant may be incompetent to stand trial, the court may appoint one or more experts at that time to conduct a competency evaluation. Under subsection (b), once there has been a determination that “evidence” exists to support a finding of incompetency to stand trial, the statute mandates that the court shall appoint an expert or experts to conduct the competency evaluation(s). Of course, subsection (b) will not be operative if the court has already exercised discretion to appoint an expert – per subsection (a) – upon a “suggestion” of incompetency. In addition, if a defendant has the resources to obtain an additional competency evaluation, subsection (f) requires the court to provide a reasonable opportunity for the additional expert to examine the defendant.

The court is tasked with appointing “disinterested” experts under Art. 46B.021.

Accordingly, subsection (c) disallows the appointment of an expert who is involved in the treatment of the defendant. Correspondingly, the statute includes no provisions requiring the court to appoint an expert of the defendant’s or prosecutor’s choosing.

In addition, as under prior law, the court may appoint experts who are employed by the local mental health authority (or, if relevant, the local intellectual and developmental disability authority) – provided that they are not then involved in the defendant’s treatment, e.g., a treating doctor at a facility operated by the local mental health authority. (At one time there was concern in certain parts of the state that an employee of a local mental health authority could not be disinterested – even if not involved in the treatment of the defendant. That issue was resolved by 2001 legislation, which was carried forward in subsection (e)). Subsection (e) requires that the local mental health authority be compensated should one of its employees be appointed as the expert. Also, to assure that the expert has ample information on hand before conducting the evaluation, subsection (d) authorizes the court to direct that relevant documents such as the indictment or information and mental health treatment records be made available to the expert.

A few possible glitches have been raised regarding the repeal of former Article 46.02 and the revamped provisions of Chapter 46B. One relates to the place of evaluation. Subsection 3(b) of former Article 46.02 included language that allowed the defendant to be transferred to a designated mental health facility (either one operated by a local mental health authority or a state hospital) for an evaluation.

That language was inadvertently not carried forward. Nonetheless, there was no intent by the S.B. 553 task force or the legislature to require that competency evaluations be conducted at the jail. Moreover, there is implicit authority under this section (Article 46B.021), and under Articles 46B.005, 46B.022, and 46B.027(b) for the court to order the transfer of the defendant to a mental health authority or state

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hospital for an evaluation. Indeed, Article 46B.027(b) specifically refers to reimbursing a facility that accepts a defendant for examination under Chapter 46B for expenses connected to the examination.

QUALIFICATIONS OF EXPERTS. One concern regarding experts that was the subject of much discussion by the S.B. 553 task force related to the former law’s limited statement of qualifications for appointment. The task force identified this as a problem area, and observed the following: “The evaluators’ skill, experience and level of expertise varied from jurisdiction to jurisdiction though the minimum qualifications required in 46.02 appeared to be met in selecting experts. The qualifications, however, appeared to require strengthening to ensure competency of the experts.”

S.B. 553 Task Force Report, at 4, available at http://www.lrl.state.tx.us/scanned/interim/77/sb1.pdf. The ensuing legislation indeed strengthened the qualifications requirements.

Art. 46B.022. Experts: Qualifications. (a) To qualify for appointment under this subchapter as an expert, a psychiatrist or psychologist must: (1) as appropriate, be a physician licensed in this state or be a psychologist licensed in this state who has a doctoral degree in psychology; and (2) have the following certification or training: (A) as appropriate, certification by: (i) the American Board of Psychiatry and Neurology with added or special qualifications in forensic psychiatry; or (ii) the American Board of Professional Psychology in forensic psychology; or (B) training consisting of: (i) at least 24 hours of specialized forensic training relating to incompetency or insanity evaluations; and (ii) at least eight hours of continuing education relating to forensic evaluations, completed in the 12 months preceding the appointment. (b) In addition to meeting qualifications required by Subsection (a), to be appointed as an expert a psychiatrist or psychologist must have completed six hours of required continuing education in courses in forensic psychiatry or psychology, as appropriate, in either of the reporting periods in the 24 months preceding the appointment. (c) A court may appoint as an expert a psychiatrist or psychologist who does not meet the requirements of Subsections (a) and (b) only if exigent circumstances require the court to base the appointment on professional training or experience of the expert that directly provides the expert with a specialized expertise to examine the defendant that would not ordinarily be possessed by a psychiatrist or psychologist who meets the requirements of Subsections (a) and (b).

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Unlike prior law, Article 46B.022 generally limits courts to appoint only psychiatrists and Ph.D.-level psychologists who also meet certain training and continuing education requirements to serve as experts to conduct competency evaluations. Not surprisingly, the competency examinations authorized by Chapter 46B are extremely significant. It is important that the court and counsel receive a useful evaluation report from a qualified expert or experts. And, although far fewer jury trials are taking place under the revised law, for those cases in which a jury is sought, the expert’s opinion will no doubt continue to play a significant role. Indeed, given the general lack of knowledge and many misconceptions about serious mental illness that predominate in this state and country, it is quite likely that many prospective jurors will have little or no previous experience with mental illness.

Accordingly, the findings, report, and testimony of the medical experts are critical not only for establishing a factual basis for meeting the incompetency criteria, but also in educating the jury about the nature of the mental illness involved.

In addition to limiting the array of eligible experts to psychiatrists or Ph.D.-level psychologists, Article 46B.022 delineates the training and continuing education requirements necessary for appointment. First, the expert must by a physician or psychologist who is licensed in Texas. Then, one basis for eligibility is board certification. A physician is qualified under subsection (a)(2)(A)(i) if the doctor has been “board-certified” by “the American Board of Psychiatry and Neurology with added or special qualifications in forensic psychiatry;” that is, if he or she is a “boardcertified” forensic psychiatrist. Similarly, a Ph.D.-level psychologist is qualified under subsection (a)(2)(A)(ii) if the expert has been “board-certified” by “the American Board of Professional Psychology in forensic psychology;” that is, if he or she is a “board-certified” forensic psychologist. Alternatively, even if the physician or Ph.D.level psychologist is not board-certified, such a doctor can qualify through specified training as set forth in subsection (a)(2)(B) (both a minimum of 24 total hours of specialized forensic training relating to incompetency or insanity evaluations, and at least eight hours of continuing education relating to forensic evaluations completed in the calendar year prior to the appointment).

In addition to the foregoing requirements, subsection (b) requires all appointed experts to have taken at least “six hours of required continuing education in courses in forensic psychiatry or psychology, as appropriate, in either of the reporting periods in the 24 months preceding the appointment.” Accordingly, there is an ongoing obligation for relatively recent continuing education.

There was some confusion with regard to the requirements for training and experience specified in an earlier version of Article 46B.022. Amendments enacted in 2011, however, resolved that confusion – at least with regard to the qualifications for experts to be appointed to conduct competency evaluations. Unfortunately, however, no corresponding amendments were made to the expert qualifications provisions in Article 46C for insanity evaluations (which will be discussed in Chapter V, infra). It is to be hoped that the legislature will act in an ensuing session to update the expert qualification requirements in Chapter 46C to mirror those set forth in Article 46B.022.

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It should also be noted that subsection (c) allows a court to appoint as an expert a licensed psychiatrist or psychologist who does not otherwise meet the requirements of Article 46B.022, but only when “exigent circumstances require the court to base the appointment on professional training or experience of the expert that directly provides the expert with a specialized expertise to examine the defendant that would not ordinarily be possessed by a psychiatrist or psychologist who meets” the usual requirements of the statute. This was intended to be a very narrow exception and should be reserved for extraordinary situations. For example, the S.B. 553 task force discussed a case arising in the western part of the state in which a defendant not only appeared to lack competency because of either mental illness or an intellectual and developmental disability, but was also profoundly deaf. The court needed an expert psychologist who was primarily knowledgeable about the individual’s hearing disability, but that expert might not have had the usual forensics experience and training typically required by the revised law. Subsection (c) would allow an appointment of such an expert in such exceptional case.

As a side note, there was discussion during the S.B. 553 task force process of requiring the creation of a registry of qualified experts to be administered by the appropriate state agency licensing board(s). Because of fiscal concerns, however, that concept was not included in the final enactment. Instead, the courts should require prospective experts to provide current, updated information demonstrating their qualifications. Counsel should also raise objections to any prospective expert who does not meet the statute’s requirements.

As noted above, the appointed expert must not have been involved with treatment of the defendant. See Article 46B.021. The goals of forensic examinations are quite different from those relating to clinical treatment and involve inevitable and unacceptable conflicts of interest.

In addition, and arguably all too often, a practitioner with a long history of ties to the court will be appointed to conduct a competency examination, even though there has been scant (or no) scrutiny of the expert’s qualifications. Counsel and the court should endeavor to determine whether any desired examiner is statutorily qualified for the appointment. For a case involving serious issues that arise in utilizing an expert who does not qualify under this statute, see Owens v. State, 437 S.W.3d 584, 588 (Tex. App. – Texarkana 2014), rev’d, 473 S.W.3d 812 (Tex. Crim. App. 2015) (determining that the testimony of appointed expert who did not meet statutory qualifications must be disregarded, but the case was reversed on appeal based on a harmless error analysis); Johnson v. State, No. 04-13-00912-CR, 2015 Tex. App. LEXIS 5824, at *10 (Tex. App. – San Antonio 2015, pet. ref’d) (holding that because expert was not qualified under Art. 46B.022, “his evaluation was not admissible and thus constituted no evidence of incompetence”). But, also consider Pham v. State, 463 S.W.3d 660, 668-70 (Tex. App. – Amarillo 2015, pet. ref’d), in which the court concluded that the comparable expert qualifications provisions in Chapter 46C apply only to court-appointed experts, and not to experts retained by the state or defense.

Even if the Amarillo Court of Appeals was correct in its statutory interpretation, a

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trial court should give much less weight to any expert who does not meet the statutory requirements and should strongly consider excluding that expert’s testimony under Rule 702 of the Texas Rules of Evidence.

Finally, as will be discussed below in connection with Article 46B.025, although the court may appoint the same expert to examine the defendant for both competency and sanity, if the expert determines that the defendant is not competent, the expert may not issue an opinion on the defendant’s sanity. Id. at art. 46B.025(c).

CUSTODY STATUS. The next section, Art. 46B.023, relates to a defendant’s custody or status during an examination.

Art. 46B.023. Custody Status. During an examination under this subchapter, except as otherwise ordered by the court, the defendant shall be maintained under the same custody or status as the defendant was maintained under immediately before the examination began.

Under Article 46B.023, the fact of a court’s order for a competency examination does not – standing alone – alter a person’s custody status. Thus, a court can order that the competency examination be conducted in the jail. Of course, as discussed above, the court can also order that the defendant be transported to a facility designated by the local mental health authority or to a state hospital for the competency examination. This authority, although perhaps somewhat cryptic, is present in the language, “except as otherwise ordered by the court.” This provides the court with authority, as under prior law, to order a defendant to be transported and examined at a facility outside the jail setting. Correspondingly, if the defendant’s status at the time of the examination order is of a different nature – perhaps the individual is free on bail or without bond per Article 17.032, Texas Code of Criminal Procedure, then that status is not changed absent some other court order.

FACTORS TO BE CONSIDERED DURING THE EXAMINATION. In the years leading up to the creation of the S.B. 553 task force, a number of concerns were raised about the lack of standards under former Art. 46.02 for psychiatrists and psychologists to consider and follow when conducting competency evaluations and in preparing their reports. An entity based in Austin, Capacity for Justice, obtained several federal grants to study and make recommendations concerning competency evaluations in Texas. Those studies revealed inconsistencies around the state for evaluation reports (and in the level of training and qualifications of experts).

Thereafter, the S.B. 553 task force identified a problem that the “actual evaluations submitted to the courts have been inconsistent in respect to content and compliance to statutorily-required information to be submitted to the courts.” S.B. 553 Task Force Report, at 4, available at http://www.lrl.state.tx.us/scanned/interim/77/sb1.pdf.

Moreover, former Art. 46.02 had scant language relating either to factors to be evaluated or information to be included in the final examination reports. The S.B. 553 task force and the ensuing legislation that enacted Chapter 46B tackled these issues in two regards. First, Article 46B.024 identifies an array of factors that must be considered in the examination; these primarily relate to functional aspects of the

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basic competency standards. In addition, Article 46B.025 addresses the information that should be included in the expert’s final report.

Art. 46B.024. Factors Considered in Examination. During an examination under this subchapter and in any report based on that examination, an expert shall consider, in addition to other issues determined relevant by the expert, the following: (1) the capacity of the defendant during criminal proceedings to: (A) rationally understand the charges against the defendant and the potential consequences of the pending criminal proceedings; (B) disclose to counsel pertinent facts, events, and states of mind; (C) engage in a reasoned choice of legal strategies and options; (D) understand the adversarial nature of criminal proceedings; (E) exhibit appropriate courtroom behavior; and (F) testify; (2) as supported by current indications and the defendant’s personal history, whether the defendant: (A) is a person with mental illness; or (B) is a person with an intellectual disability; (3) whether the identified condition has lasted or is expected to last continuously for at least one year; (4) the degree of impairment resulting from the mental illness or intellectual disability, if existent, and the specific impact on the defendant’s capacity to engage with counsel in a reasonable and rational manner; and (5) if the defendant is taking psychoactive or other medication: (A) whether the medication is necessary to maintain the defendant’s competency; and (B) the effect, if any, of the medication on the defendant’s appearance, demeanor, or ability to participate in the proceedings.

Article 46B.024 represented a substantial change and improvement over the prior law. Largely based on a similar enactment in a sister state (Utah), the statute sets forth an array of issues that relate to the functional aspects of a person’s competency – or incompetency – to face a criminal trial. As noted above, there was no intent to change the underlying Dusky standards relating to the person’s ability to understand the proceedings or ability to consult with counsel. Instead, the statute endeavored to “flesh out” the various components of what is or may comprise the underlying standards. Article 46B.024 was the focus of a great deal of debate during the S.B. 553 task force process and included substantial contributions by representatives from the professional psychiatric and psychological communities. The language was tailored through their assistance to identify the key components comprising the basic framework of what it means to be competent to stand trial.

Since the statute’s enactment, this type of information has been particularly helpful to counsel and the courts. Amendments enacted in 2011 added subsection (3)

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regarding whether the person’s condition or illness has lasted or is anticipated to last for at least a year, and modified subsection (4) to require the examiner to report on the degree of the person’s impairment.

EVALUATION REPORTS. For a competency evaluation report to be of value to the courts, it should be thorough in its scope. The S.B. 553 task force received testimony and data that revealed that while many experts in Texas did an excellent job in preparing competency evaluation reports, the quality of the reports was inconsistent around the state, with many being quite conclusory in style. Moreover, the former Art. 46.02 offered little guidance as to the information that should be included in the report. Accordingly, Article 46B.025 is much more specific about the requirements for these reports.

Art. 46B.025. Expert’s Report. (a) An expert’s report to the court must state an opinion on a defendant’s competency or incompetency to stand trial or explain why the expert is unable to state such an opinion and must also: (1) identify and address specific issues referred to the expert for evaluation; (2) document that the expert explained to the defendant the purpose of the evaluation, the persons to whom a report on the evaluation is provided, and the limits on rules of confidentiality applying to the relationship between the expert and the defendant; (3) in specific terms, describe procedures, techniques, and tests used in the examination, the purpose of each procedure, technique, or test, and the conclusions reached; and (4) state the expert’s clinical observations, findings, and opinions on each specific issue referred to the expert by the court, state the specific criteria supporting the expert’s diagnosis, and state specifically any issues on which the expert could not provide an opinion. (a-1) The expert’s opinion on the defendant’s competency or incompetency may not be based solely on the defendant’s refusal to communicate during the examination. (b) If in the opinion of an expert appointed under Article 46B.021 the defendant is incompetent to proceed, the expert shall state in the report: (1) the symptoms, exact nature, severity, and expected duration of the deficits resulting from the defendant’s mental illness or intellectual disability, if any, and the impact of the identified condition on the factors listed in Article 46B.024; and (2) an estimate of the period needed to restore the defendant’s competency, including whether the defendant is likely to be restored to competency in the foreseeable future; and (3) prospective treatment options, if any, appropriate for the defendant. (c) An expert’s report may not state the expert’s opinion on the defendant’s sanity at the time of the alleged offense, if in the opinion of the expert the defendant is incompetent to proceed.

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(d) The court shall direct an expert to provide the expert’s report to the court and the appropriate parties in the form approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments under Section 614.0032(b), Health and Safety Code.

Article 46B.025 requires specific, detailed information in the expert’s report relating to certain delineated matters that are in addition to Article 46B.024’s mandate to report on that section’s array of factors to be considered in the examination. The clear legislative intent was to guard against conclusory reports, and to encourage thorough write-ups. A well-written evaluation report not only assists the courts, but can be an invaluable resource for the competency restoration treatment team should the defendant be determined to be incompetent to stand trial.

As noted by Shannon Edmonds in his excellent article analyzing the 2003 legislation that first enacted Article 46B, “What is clear is that the parties and the court will have substantially more information on each defendant than they have under … [the former] law.” Incompetency under New Chapter 46B, Code of Criminal Procedure, THE TEXAS PROSECUTOR 18, 24 (Nov./Dec. 2003). Mr. Edmonds also anticipated that courts and attorneys who are “accustomed to receiving nothing more than a one-page, conclusory memorandum in uncontested competency cases will now have a wealth of new information at their disposal.” Id. (Mr. Edmonds is the Director of Government Relations for the Texas District and County Attorneys Association and participated in the S.B. 553 task force process.)

In addition to providing certain clarifying language to tighten up the requirements for the experts’ reports and to make them more specific, H.B. 2725 enacted in 2011 added subsections (a-1) and (b)(2). Subsection (a-1) precludes the expert from basing his or her opinion on competency or a lack of competency solely on the defendant’s refusal to communicate with the expert during the exam. In turn, subsection (b)(2) requires the expert to estimate the likely period for competency restoration and to report on whether it is likely that the defendant will be restored in the foreseeable future. If the expert determines that it is unlikely that there will be a restoration of competency in the foreseeable future, that finding has an important impact on the further procedural processing of the defendant (and will be discussed in connection with Article 46B.071, infra).

Subsection (c) of Article 46B.025 represented an important new addition to the state’s competency provisions. Often, a court will appoint the same expert to examine the defendant for both competency and sanity (assuming that the defendant has raised the prospect of pursuing the insanity defense). And, conceptually, there is nothing wrong with such a practice. On the other hand, however, should the expert during the course of the examination conclude that the defendant is incompetent to proceed, any additional information elicited through a further evaluation – at that time – of the incompetent defendant’s sanity would be suspect and likely be of little probative value. Accordingly, the intent of the S.B. 553 task force in drafting subsection (c) was to guard against that possibility. Thus, under subsection (c), if the expert reaches the conclusion that the defendant is incompetent, the expert should stop the examination and not make an assessment regarding sanity. If, however, the

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expert is of the view that the defendant is competent, then the expert may proceed and examine for sanity (and thereafter write a separate report relating to the sanity issues). The professional psychiatrists and psychologists who participated on the S.B. 553 task force indicated that subsection (c) also reflected a codification of their respective ethical requirements. The 2005 enactment of Chapter 46C relating to the insanity defense includes a parallel provision in Article 46C.103, which precludes the expert from examining a defendant for purposes of determining sanity “if in the opinion of the expert the defendant is incompetent to proceed.”

Subsection (d) of Article 46B.025 was added by H.B. 2194 in 2005. It requires courts to direct that the appointed expert’s report comport with a format developed and approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI). That same bill tasked TCOOMMI with developing and making available in electronic format a standardized form for use by experts in reporting competency examination results. The form is available online at: http://www.txcourts.gov/media/518971/templatecompetencyeval.pdf.

As a side note, court decisions have determined that should a competency evaluation reveal that an indigent defendant might have a viable insanity claim, due process requires the court to appoint or give prior approval for the reimbursement of reasonable expenses for the defendant to obtain a competent psychiatrist or psychologist examiner to assist in the evaluation, preparation, and presentation of the insanity defense. See, e.g., DeFreece v. State, 848 S.W.2d 150, 159 (Tex. Crim.

App.), cert. denied, 510 U.S. 905 (1993).

In addition, another section of S.B. 1057 in 2003 amended § 51.20(a), Texas Family Code, to mandate the use of the same requirements for appointment of experts, scope of evaluations, and expert reports for juvenile evaluations relating to the issue of a juvenile’s fitness to proceed.

TIMELY PREPARATION OF REPORTS. To be of maximum value to the courts and attorneys, the report from the expert should be submitted in a timely manner.

Art. 46B.026. Report Deadline. (a) Except as provided by Subsection (b), an expert examining the defendant shall provide the report on the defendant's competency or incompetency to stand trial to the court, the attorney representing the state, and the attorney representing the defendant not later than the 30th day after the date on which the expert was ordered to examine the defendant and prepare the report. (b) For good cause shown, the court may permit an expert to complete the examination and report and provide the report to the court and attorneys at a date later than the date required by Subsection (a). (c) Repealed in 2017.

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(d) The court shall submit to the Office of Court Administration of the Texas Judicial System on a monthly basis the number of reports provided to the court under this article.

Article 46B.026 creates a default rule that the expert should have the report completed and submitted within 30 days of the court’s order appointing that expert.

Subsection (b) does, however, authorize an extension upon good cause shown. Article 46B.026 also requires the expert to submit copies of the report to the court, the prosecutor, and the defense counsel. Subsection (d) was added in 2017 by S.B. 1326 to require courts to submit to the Office of Court Administration the total number of reports on a monthly basis.

PAYMENT/REIMBURSEMENT FOR EXPENSES. Article 46B.027 carries forward policies from the prior law that require counties to pay the costs for the appointed experts’ services for the competency evaluations. Subsection (a) requires payment directly to the expert or, in the case of a qualified psychiatrist or psychologist who is employed by a local mental health or intellectual and developmental disability authority, to that entity. Additionally, subsection (b) requires payment by the county to the facility that has accepted the defendant for examination (e.g., a state hospital or community based facility in the case of a defendant with mental illness). As discussed supra, Chapter 46B – unlike prior law – does not directly state that a court may order a defendant to be transported to a state hospital for a competency evaluation (or to a facility operated by a local mental health authority). For reasons described above, however, that authority is implicit in the statute; there was no intent to change that aspect of the former law. Subsection (b) is further support for that proposition. Obviously, if a facility is authorized by this subsection to receive payment for conducting an examination in its facility, then the court can first order that the individual be examined at such a facility. Moreover, because Article 46B.027(a) requires the county to pay for the appointed expert’s services, a court may not order a defendant to reimburse the county for this expense following a conviction. See Morgan v. State, No. 06-17-00165-CR, 2018 Tex. App. LEXIS 134, at *6 (Tex. App. – Texarkana 2018, no pet.) (holding that trial court erred in assessing the court-appointed psychologist’s fees against the defendant).

Art. 46B.027. Compensation of Experts; Reimbursement of Facilities. (a) For any appointment under this chapter, the county in which the indictment was returned or information was filed shall pay for services described by Articles 46B.021(a)(1) and (2). If those services are provided by an expert who is an employee of the local mental health authority or local intellectual and developmental disability authority, the county shall pay the authority for the services. (b) The county in which the indictment was returned or information was filed shall reimburse a facility that accepts a defendant for examination under this chapter for expenses incurred that are reasonably necessary and incidental to the proper examination of the defendant.

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THE INCOMPETENCY TRIAL PROCESS. Subchapter C of Chapter 46B addresses the incompetency trial process. This subchapter replaced section 4 of former Art. 46.02. Later, in 2005 the legislature replaced the term “hearing” with “trial” to describe the proceedings.

Art. 46B.051. Trial before Judge or Jury. (a) If a court holds a trial to determine whether the defendant is incompetent to stand trial, on the request of either party or the motion of the court, a jury shall make the determination. (b) The court shall make the determination of incompetency if a jury determination is not required by Subsection (a). (c) If a jury determination is required by Subsection (a), a jury that has not been selected to determine the guilt or innocence of the defendant must determine the issue of incompetency.

As discussed above, perhaps the most significant change from the former law included in Chapter 46B is the ability to avoid a jury trial on the issue of incompetency unless the prosecutor, the defense, or the court affirmatively seeks a jury trial. Thus, jury trials are no longer required and are generally rare. Indeed, as provided in Article 46B.005(b) (discussed above), there is no need for a competency trial at all in an uncontested case unless one is sought by either party or the court. In the event a party contests the issue of competency or a competency trial is otherwise ordered by the court, Article 46B.051 also makes clear that a jury trial is only necessary if sought by a party or directed by the court’s own order. Otherwise, the trial may proceed before the court without a jury, which is the approach in the vast majority of cases.

As under prior law, if a jury trial is sought or otherwise ordered by the court, subsection (c) directs that a jury different from the jury that will determine guilt or innocence must determine the incompetency issue. The requirement of a separate jury for the competency trial permits those jurors to focus exclusively on issues relating to the defendant’s competency to stand trial, uncluttered by evidence or argument relating to the charged offense. Accordingly, these jurors may focus solely on questions relating to the defendant’s present competency.

JURY DETERMINATIONS. In those rare cases when a jury trial is sought, the jury must state in its verdict whether the defendant is incompetent to stand trial or not. In addition, there must be a unanimous finding by the jury on the question of incompetency to stand trial.

Art. 46B.052. Jury Verdict. (a) If a jury determination of the issue of incompetency to stand trial is required by Article 46B.051(a), the court shall require the jury to state in its verdict whether the defendant is incompetent to stand trial. (b) The verdict must be concurred in by each juror.

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One important aspect of the current law not apparent on the face of Article 46B.052 relates to what is no longer required. Under Section 4 of former Art. 46.02, if the jury found the defendant to be incompetent to stand trial, the jury also had to determine whether the defendant would attain sufficient competency to stand trial in the foreseeable future. Thus, juries not only had to evaluate evidence concerning the defendant’s present capacity to understand or participate in the criminal proceedings, they also had to make medical predictions about whether the defendant could attain, or regain, sufficient competency in the foreseeable future. The S.B. 553 task force was of the view that this is largely a medical judgment, and that juries are ill-equipped to make such predictions. Accordingly, the 2003 re-write of the statutes dropped that concept as a requirement for jury consideration. Note, however, that an opinion by the examiner and a corresponding finding by the trial court that a defendant is incompetent, but is unlikely to be restored in the foreseeable future, precludes the option of a commitment to a competency restoration program. See infra Article 46B.071(b) and related discussion.

WHAT IF THE DEFENDANT IS DETERMINED TO BE COMPETENT? Article 46B.053 addresses the next steps to be taken upon a determination that the defendant is competent to be tried.

Art. 46B.053. Procedure after Finding of Competency. If the court or jury determines that the defendant is competent to stand trial, the court shall continue the trial on the merits. If a jury determines that the defendant is competent and the trial on the merits is to be held before a jury, the court shall continue the trial with another jury selected for that purpose.

If the proceeding results in a determination that the defendant is competent to stand trial, the court may proceed with the trial on the merits after dismissing the jury that determined competency. If there is to be a jury trial on the question of guilt or innocence, a new jury must be impaneled.

WHAT IF THE DEFENDANT IS FOUND TO BE INCOMPETENT TO PROCEED OR THE ISSUE OF INCOMPETENCY IS UNCONTESTED? The final two sections of Subchapter C of Chapter 46B are, in general, cross-reference sections to Subchapter D, which sets forth the procedures to be followed upon an initial determination of incompetency. For ease of reference, we are quoting these final two sections in reverse order.

Art. 46B.055. Procedure after Finding of Incompetency. If the defendant is found incompetent to stand trial, the court shall proceed under Subchapter D. Art. 46B.054. Uncontested Incompetency. If the court finds that evidence exists to support a finding of incompetency to stand trial and the court and the counsel for each party agree that the defendant is incompetent to stand trial, the court shall proceed in the same manner as if a jury had been impaneled and had found the defendant incompetent to stand trial.

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Per Article 46B.055, if there has been a trial on incompetency before either the court or a jury, and if the defendant is found to be incompetent to stand trial, the court must then follow the procedures set forth in Subchapter D of Chapter 46B (beginning with Article 46B.071). Alternatively, if the court determines that evidence exists to support a finding of incompetency, and the judge and counsel for both parties agree that the defendant is incompetent, then no trial on incompetency is required. Instead, Article 46B.054 directs that the court proceed as if a jury had made a finding of incompetency to stand trial. That is, the court should then proceed directly to the process described in Subchapter D, which is discussed immediately below.

COMMITMENT FOR COMPETENCY RESTORATION TREATMENT. As noted above, Subchapter D of Chapter 46B sets forth the procedural steps to be followed after an initial finding of incompetency by the court following either a trial on the issue (before the court or a jury), or if there was an uncontested incompetency determination. Article 46B.071 provides various alternatives:

Art. 46B.071. Options on Determination of Incompetency. (a) Except as provided in subsection (b), on a determination that a defendant is incompetent to stand trial, the court shall: (1) if the defendant is charged with an offense punishable as a Class B misdemeanor: (A) release the defendant on bail under Article 46B.0711; or (B) commit the defendant to: (i) a jail-based competency restoration program under Article 46B.073(e); or (ii) a mental health facility or residential care facility under Article 46B.073(f); or (2) if the defendant is charged with an offense punishable as a Class A misdemeanor or any higher category of offense: (A) release the defendant on bail under Article 46B.072; or (B) commit the defendant to a facility or a jail-based competency restoration program under Article 46B.073(c) or (d). (b) On a determination that a defendant is incompetent to stand trial and is unlikely to be restored to competency in the foreseeable future, the court shall: (1) proceed under Subchapter E or F; or (2) release the defendant on bail as permitted under Chapter 17.

Article 46B.071 sets forth a roadmap to guide the courts and practitioners as to the next steps under Chapter 46B upon an initial determination that the defendant is incompetent. Subsection (a) applies if the court has determined that the defendant is both incompetent and restorable. Subsection (b) controls, however, if the court’s determination is that the defendant is both incompetent and unlikely to be restored in the foreseeable future. The procedures vary considerably.

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For those defendants who are found to be incompetent yet restorable, subsection (a) specifies an array of alternatives depending on the level of charges. These provisions were substantially revised by S.B. 1326 in 2017. For persons charged with Class B misdemeanors, the options under the statutory scheme for competency restoration services include possible bail and an outpatient commitment order under Article 46B.0711, jail-based competency restoration under Article 46B.073(e), or commitment to an inpatient facility under Article 46B.073(f). For felony charges or Class A misdemeanors, the statutory options include possible bail and an outpatient commitment order under Article 46B.072, jail-based competency restoration, or an inpatient commitment. It should be noted that the 2017 amendments were intended to create more options to inpatient commitments, particularly given the long waitlists and waiting time to access available state hospital beds for inpatient competency restoration. 14 If the examiner and court have determined that the defendant is incompetent to stand trial, but also is unlikely to be restored in the foreseeable future, subsection (b) directs the court elsewhere. In such a case, the court must proceed under Subchapters E or F of Article 46B (discussed below), which permit use of the Health & Safety Code provisions for civil commitment, or release the individual on bail under the provisions of Chapter 17 of the Code of Criminal Procedure. Accordingly, a “criminal” commitment for competency restoration is not an option in such a case under Articles 46B.0711, 46B.072 or 46B.073.

Art. 46B.0711. Release on Bail for Class B Misdemeanor. (a) This article applies only to a defendant who is subject to an initial restoration period based on Article 46B.071. (b) Subject to conditions reasonably related to ensuring public safety and the effectiveness of the defendant’s treatment, if the court determines that a defendant charged with an offense punishable as a Class B misdemeanor and found incompetent to stand trial is not a danger to others and may be safely treated on an outpatient basis with the specific objective of attaining competency to stand trial, and an appropriate outpatient competency restoration program is available for the defendant, the court shall: (1) release the defendant on bail or continue the defendant’s release on bail; and (2) order the defendant to participate in an outpatient competency restoration program for a period not to exceed 60 days.

I have discussed issues relating to the long waitlists elsewhere. See Competency, Ethics, and Morality, 49 TEX. TECH L. REV. 861 (2017), available at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3018532. As of this writing, litigation remains pending between Disability Rights Texas and the State of Texas regarding the lengthy waiting time following competency restoration orders and prior to the availability of inpatient services.

See Adickes v. Hellerstedt, 753 Fed. Appx. 236 (5th Cir. 2018) (reversing previous class certification, but remanding for further consideration.

14

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(c) Notwithstanding Subsection (b), the court may order a defendant to participate in an outpatient competency restoration program under this article only if: (1) the court receives and approves a comprehensive plan that: (A) provides for the treatment of the defendant for purposes of competency restoration; and (B) identifies the person who will be responsible for providing that treatment to the defendant; and (2) the court finds that the treatment proposed by the plan will be available to and will be provided to the defendant. (d) An order issued under this article may require the defendant to participate in: (1) as appropriate, an outpatient competency restoration program administered by a community center or an outpatient competency restoration program administered by any other entity that provides competency restoration services; and (2) an appropriate prescribed regimen of medical, psychiatric, or psychological care or treatment.

The legislature enacted Article 46B.0711 in 2017 as part of S.B. 1326 to respond, in part, to the significant waiting time and lengthy waitlists for available forensic state hospital beds. Article 46B.0711 creates a process by which the court, in an appropriate case involving a defendant charged with a Class B misdemeanor, may release the defendant on bail and order a commitment to an outpatient competency restoration program. This provision pre-supposes, however, the availability of an outpatient competency restoration program. To date, there are not a large number of such programs across the state, and many of the programs that do exist have limited capacity. Other legislation in 2017, however, provided funding for matching grant opportunities to develop programs such as outpatient competency restoration. It is to be hoped that more will be brought online in the near future.

In a thoughtful article, Dr. Floyd Jennings pointed out some of the challenges with outpatient competency restoration orders. Floyd L. Jennings, Statutory Changes Regarding Mentally Ill Defendants, Voice for the Defense Online (Oct. 31, 2017), available at http://www.voiceforthedefenseonline.com/story/statutory-changes-regardingmentally-ill-defendants. For example, if a defendant is homeless, an outpatient order is unlikely to be successful. Managing transportation issues to, for example, travel to appointments could also be difficult for someone who is incompetent. There are also challenges with medication management if the person is incompetent.

With regard to medication, subsection (d)(2) authorizes the court to include in the commitment order a requirement that the defendant participate in “an appropriate prescribed regimen of medical, psychiatric, or psychological care or treatment.” The reader should note, however, that this provision does not extend to permitting forced medication. In contrast, Section 574.106 of the Texas Health and Safety Code

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includes a judicial process for the possibility of forced medication orders, but only for persons in jail or in inpatient settings, not outpatient. Compare also Article 46B.086, discussed infra, which authorizes forced medication in certain situations and settings involving incompetent defendants, including jail-based competency restoration programs. It is noteworthy that the amendments to Article 46B.086 relating to jailbased competency restoration and authorizing the possibility of forced medication orders in appropriate cases in that setting were in the same 2017 legislation that created Article 46B.0711 (S.B. 1326), with no similar authorization. Perhaps it would be more helpful to consider the order about appropriate medications authorized by Article 46B.0711(d) as being comparable to orders in civil outpatient commitments that similarly may include adherence to a regimen of treatment including medication. See § 574.037(b)(2), Health and Safety Code. But, in particular, the criminal court should also be guided by analogy to Section 574.037(c-3), Health and Safety Code (“court shall order the patient to participate in the [treatment] program but may not compel performance”).

As more outpatient competency restoration programs are developed across the state, thought should be given to utilizing a hybrid program; that is, an outpatient program that is not entirely outpatient, but includes a residential component. Doing so would address some of the concerns raised by Dr. Jennings concerning housing, transportation, and the potential for better monitoring of medication compliance.

Art. 46B.072. Release on Bail for Felony or Class A Misdemeanor. (a) This article applies only to a defendant who is subject to an initial restoration period based on Article 46B.071. (a-1) Subject to conditions reasonably related to ensuring public safety and the effectiveness of the defendant’s treatment, if the court determines that a defendant charged with an offense punishable as a felony or a Class A misdemeanor and found incompetent to stand trial is not a danger to others and may be safely treated on an outpatient basis with the specific objective of attaining competency to stand trial, and an appropriate outpatient competency restoration program is available for the defendant, the court (1) may release on bail a defendant found incompetent to stand trial with respect to an offense punishable as a felony or may continue the defendant’s release on bail; and (2) shall release on bail a defendant found incompetent to stand trial with respect to an offense punishable as a Class A misdemeanor or shall continue the defendant’s release on bail. (b) The court shall order a defendant released on bail under Subsection (a-1) to participate in an outpatient competency restoration program for a period not to exceed 120 days. (c) Notwithstanding Subsection (a-1), the court may order a defendant to participate in an outpatient competency restoration program under this article only if: (1) the court receives and approves a comprehensive plan that:

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(A) provides for the treatment of the defendant for purposes of competency restoration; and (B) identifies the person who will be responsible for providing that treatment to the defendant; and (2) the court finds that the treatment proposed by the plan will be available to and will be provided to the defendant. (d) An order issued under this article may require the defendant to participate in: (1) as appropriate, an outpatient competency restoration program administered by a community center or an outpatient competency restoration program administered by any other entity that provides outpatient competency restoration services; and (2) an appropriate prescribed regimen of medical, psychiatric, or psychological care or treatment, including care or treatment involving the administration of psychoactive medication, including those required under Article 46B.086.

Similar to Article 46B.0711 (which applies only to Class B misdemeanor cases), Article 46B.072 authorizes or requires release on bail for treatment on an outpatient basis in appropriate cases if the pending charges are for felonies or Class A misdemeanors. 15 A court should weigh this option in any case involving nonviolent offenses or when the court is of the view that the defendant is not a danger to others.

Treatment in the local community is often much more desirable than commitment to a remote institution. Moreover, this approach for nonviolent offenses is quite consistent with the legislative policy reflected by the diversion legislation highlighted in Chapter III above. Indeed, the statutory language is generally mandatory for Class A misdemeanors and permissive for felonies. Of course, its utilization and potential for successfully implementation are contingent on the availability of an outpatient competency restoration program in the community. As well, eligibility for outpatient competency restoration services will, by rule, reside with the provider of the services.

Accordingly, the criminal courts should work with the community mental health and intellectual and developmental disability authorities to assure that appropriate outpatient treatment programs are available to provide competency restoration services. Implicit in the legislation is that the courts and the mental health services providers must work closely together to structure and coordinate workable programs.

In recent years, the state has funded a number of outpatient competency restoration programs, but more must be done. As the Texas Judicial Council’s Mental Health Committee noted prior to the 2017 legislative session, “Successful implementation of this approach [utilizing outpatient competency restoration for defendants charged with Class B misdemeanors] will require creation and expansion of local treatment 15 This section also contemplates a change in time frame. Whereas, ordinarily, restoration commitments for alleged misdemeanants are for a period 60 days with one possible 60-day extension, in the case of outpatient competency restoration for persons charged with a Class A misdemeanor, the time frame is the same as for felony charges, 120 days with a possible 60day extension.

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options sufficient to meet demand and the needs of these individuals and their communities.” Texas Judicial Council Mental Health Committee Report & Recommendations, at 6 (October 2016), available at https://www.txcourts.gov/media/1436230/report-and-recommendations-of-tjc-mental-healthcommittee-final-w-cover.pdf.

Some of the issues and challenges with outpatient competency restoration are detailed above in the discussion of Article 46B.0711. Like that statute, Article 46B.072(d) authorizes the court’s order to include in the order a requirement that the defendant take prescribed medication. Nonetheless, practitioners and the courts should keep in mind that forced medication is only authorized under the processes and in the situations described in Section 574.106, Texas Health and Safety Code, and Article 46B.086, discussed infra.

In situations in which release on bail to a local outpatient competency restoration program is not deemed appropriate due to concerns of public safety under subsection (a-1), or such services are simply not available in the community, the court is instead required to turn to Article 46B.073 to order the defendant to an inpatient facility or to a jail-based competency restoration program.

Art. 46B.073. Commitment for Restoration to Competency. (a) This article applies only to a defendant not released on bail who is subject to an initial restoration period based on Article 46B.071. (b) For purposes of further examination and competency restoration services with the specific objective of the defendant attaining competency to stand trial, the court shall commit a defendant described by Subsection (a) to a mental health facility, residential care facility, or jail-based competency restoration program for the applicable period as follows: (1) a period of not more than 60 days, if the defendant is charged with an offense punishable as a misdemeanor; or (2) a period of not more than 120 days, if the defendant is charged with an offense punishable as a felony. (c) If the defendant is charged with an offense listed in Article 17.032(a) or if the indictment alleges an affirmative finding under Article 42A.054(c) or (d), the court shall enter an order committing the defendant for competency restoration services to a facility designated by the commission. (d) If the defendant is not charged with an offense described by Subsection (c) and the indictment does not allege an affirmative finding under Article 42A.054(c) or (d), the court shall enter an order committing the defendant to a mental health facility or residential care facility determined to be appropriate by the local mental health authority or local intellectual and development disability authority or to a jail-based competency restoration program. A defendant may be committed to a jail-based competency restoration program only if the program provider determines the defendant will begin to receive competency restoration services within 72 hours of arriving at the program.

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(e) Except as provided by Subsection (f), a defendant charged with an offense punishable as a Class B misdemeanor may be committed under this subchapter only to a jail-based competency restoration program. (f) A defendant charged with an offense punishable as a Class B misdemeanor may be committed to a mental health facility or residential care facility described by Subsection (d) only if a jail-based competency restoration program is not available or a licensed or qualified mental health professional determines that a jail-based competency restoration program is not appropriate.

If there is not a release on bail for outpatient competency restoration services, Article 46B.073 requires the court to commit an incompetent defendant to an inpatient treatment facility or to a jail-based competency restoration program for up to 60 days (in the case of misdemeanor charges) or for up to 120 days (in the case of felony charges) for the purpose of providing treatment and services to allow the defendant to attain competency to be tried. This section supplanted the former “criminal” commitment process that was formerly set forth in section 5 of old Article 46.02. One notable difference from the prior law is the duration of this commitment.

Under the old law, the section 5 commitment could last up to eighteen (18) months.

The S.B. 553 task force received testimony that such a lengthy period does not comport with modern treatment approaches. For a person with mental illness, typically stabilization with appropriate medication can be achieved in far less time.

Thus, under Chapter 46B, the limit for an inpatient competency restoration commitment is much shorter: either 60 days (in the case of misdemeanor charges) or 120 days (in the case of felony charges), with one possible extension of another 60 days as authorized by Article 46B.080 discussed below. The legislature added the jail-based competency alternative in 2017 as part of S.B. 1326. One should note, however, that even though 46B.073 authorizes a 120-day commitment period for felonies, if the commitment is to a jail-based competency restoration program, only the first 60 days of services may take place in the jail-based program. See the discussion of Article 46B.091(j), infra.

Subsections (c) and (d) pertain to the proper location of the competency restoration services. Prior to 2019 legislation, subsection (c) required a commitment to one of the state’s maximum security hospital facilities if the defendant was charged with certain violent offenses. This provision was amended in 2019, however, to give the Health and Human Services Commission discretion in determining the appropriate inpatient hospital setting in the case of violent charges. Prior to the 2019 session, there was concern that the former law’s requirement to identify placement based solely on the level of pending charges, “rather than a clinical determination … result[ed] in many defendants who do not meet the standard for dangerousness being sent to the North Texas State Hospital in Vernon [a secure facility].” See Texas House Research Organization Bill Digest, S.B. 562, May 21, 2019, available at https://hro.house.texas.gov/pdf/ba86r/sb0562.pdf#navpanes=0 (also noting that the practice exacerbated waiting lists for available bed space). S.B. 562 and H.B. 601 revised subsection (c) to grant discretion to the state.

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For nonviolent offenses, subsection (d) requires the court to commit the defendant to a facility deemed appropriate by the local mental health or intellectual and developmental disability authority. This subsection provides yet another reason why it is important that judges overseeing courts with criminal jurisdiction should regularly communicate and coordinate with the local mental health or intellectual and developmental disability authority.

The interactions of Articles 46B.071, 46B.0711, 46B.072, and 46B.073 are ripe for confusion. Each of these sections has been discussed above, but by way of a brief and very general summary, the legislature has endeavored to create a default to the use of outpatient competency restoration for misdemeanors and nonviolent felonies.

Then, the next alternative would be for jail-based competency restoration. Finally, only if “neither an outpatient program is available nor a jail-based program (or the person could not be treated safely on an outpatient basis, or a maximum security program is required), only then may the court commit a person to …” an inpatient facility.

See Floyd L. Jennings, supra at http://www.voiceforthedefenseonline.com/story/statutory-changes-regarding-mentally-illdefendants (describing the logic and likely intent behind the order of preference for

restoration locales included in 2017’s S.B. 1326). Of course, the legislature has also recognized that in the absence of either an outpatient or jail-based option in many counties in Texas, the statutes must still authorize inpatient commitments for competency restoration.

Dr. Jennings also prepared a helpful table depicting the time limits for the various competency commitments authorized by these sections in his paper on this subject. Id. I am including a modified version of his table below: Situs Outpatient Jail-based Inpatient

Class of Offense Class B Class A Felony Class B Class A Felony Class B Class A Felony

Commitment Period 60 days 120 days 120 days 60 days 60 days 120 days* 60 days 60 days 120 days

Possible Extension 60 days 60 days 60 days 60 days (inpatient)** 60 days (inpatient)** 60 days (inpatient)** 60 days 60 days 60 days

* Only the first 60 days of competency restoration services are allowed in a jail-based competency restoration program; the remaining 60 days of the 120-day commitment and possible 60-day extension may only be provided following the defendant’s transfer to an inpatient facility. See discussion of Article 46B.091(j), infra. ** Because only 60 days are permitted in a jail-based competency restoration program, any one-time 60day extension may only apply following the defendant’s transfer to an inpatient facility. Id.

Finally, the state continues to grapple with large numbers of individuals in need of court-ordered forensic services. As of August 2018, approximately 60 percent of the bed space at the various Texas state hospitals was dedicated to forensic patients, with significant waiting times for transfers from state jails of over 30 days. The

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legislature in 2017 began taking steps to try to address this public policy crisis in several ways. First, as noted, S.B. 1326 was enacted to encourage greater utilization of outpatient competency restoration and jail-based competency restoration. Funds were made available for matching grants to develop or enhance such programs. In addition, the legislature committed $300 million during the 2017 session toward the planning and construction of new hospital capacity. Then, during the 2019 session, the legislature passed S.B. 500, which directed that an additional $445,354,363 be appropriated from the state’s rainy day fund to replace the Austin and San Antonio State Hospitals and to add capacity at the Rusk State Hospital. I have discussed issues relating to the long waitlists elsewhere. In addition, as of mid-2019, litigation remains pending between Disability Rights Texas and the State of Texas regarding the lengthy waiting time following competency restoration orders and prior to the availability of inpatient services. See Adickes v. Hellerstedt, 753 Fed. Appx. 236 (5th Cir. 2018) (reversing previous class certification, but remanding for further consideration. I also discussed some of the issues involved with excessive wait times in an earlier article. See Competency, Ethics, and Morality, 49 Tex. Tech L. Rev. 861 (2017), available at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3018532.

COMPETENT MEDICAL “TESTIMONY.” Art. 46B.074 permits a criminal commitment under Subchapter D only upon “competent medical or psychiatric testimony” or through a qualifying expert’s report.

Art. 46B.074. Competent Testimony Required. (a) A defendant may be committed to a jail-based competency restoration program, mental health facility or residential care facility under this subchapter only on competent medical or psychiatric testimony provided by an expert qualified under Article 46B.022. (b) The court may allow an expert to substitute the expert’s report under Article 46B.025 for any testimony by the expert that may be required under this article.

In part, Article 46B.074 carries forward into current law language that was formerly located in subsection 5(b) of former Art. 46.02. As initially enacted in 2003, however, the provision caused some confusion in a few courts with respect to uncontested determinations of incompetency. Obviously, in cases in which there is a trial before the court or a jury on the question of a defendant’s competency, then the court or jury will hear testimony from the qualified expert(s). After Chapter 46B’s effective date in 2004, however, questions arose as to the role of Article 46B.074 in cases in which the parties waived a competency trial. Some courts were of the view that notwithstanding an agreed finding of incompetency, a hearing was still needed to accept competent medical testimony. In a previous edition of this book, we argued that Article 46B.074 did not apply to an uncontested case. Under a cardinal rule of statutory construction, potentially conflicting provisions of an enactment must be harmonized to the extent possible. We contended that it would be incongruous to construe Article 46B.074 as requiring some type of limited hearing for the sole purpose of eliciting medical or psychiatric testimony when both parties and the court

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had waived the trial on incompetency as is otherwise authorized by the statute. We further posited that albeit not “testimony,” the qualified expert’s report should suffice as sufficient medical or psychiatric evidence for uncontested cases. This uncertainty was clarified by S.B. 679 in 2005, which added subsection (b) to the statute. It is now clear that the expert’s report can be substituted for testimony. Indeed, this has now become the norm in uncontested cases. Finally, S.B. 1326 in 2017 added the reference to a jail-based competency restoration.

TRANSPORTING THE DEFENDANT TO THE TREATMENT FACILITY OR PROGRAM. It is the responsibility of the sheriff’s office to transport the defendant to the treatment facility or outpatient facility.

Art. 46B.075. Transfer of Defendant to Facility or Program. An order issued under Article 46B.0711, 46B.072, or 46B.073 must place the defendant in the custody of the sheriff or sheriff’s deputy for transportation to the facility or program, as applicable, in which the defendant is to receive competency restoration services.

With regard to the topic of transportation, although not a part of Chapter 46B, another provision of the Code of Criminal Procedure is worthy of mention. Article 46.04, Texas Code of Criminal Procedure, provides a listing of certain basic requirements for transportation for any transfers to mental health or intellectual or developmental disability treatment facilities addressed by the competency statutes, as well as other provisions calling for such transportation in the Code.

Art. 46.04. Transportation to a Mental Health Facility or Residential Care Facility. Sec. 1. (a) A patient transported from a jail or detention facility to a mental health facility or a residential care facility shall be transported by a special officer for mental health assignment certified under Section 1701.404, Occupations Code, or by a sheriff or constable. (b) The court ordering the transport shall require appropriate medical personnel to accompany the person transporting the patient, at the expense of the county from which the patient is transported, if there is reasonable cause to believe the patient will require medical assistance or will require the administration of medication during the transportation. (c) A female patient must be accompanied by a female attendant.

Sec. 2. The transportation of a patient from a jail or detention facility to a mental health facility or residential care facility must meet the following requirements: (1) the patient must be transported directly to the facility within a reasonable amount of time and without undue delay; (2) a vehicle used to transport the patient must be adequately heated in cold weather and adequately ventilated in warm weather;

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(3) a special diet or other medical precautions recommended by the patient's physician must be followed; (4) the person transporting the patient shall give the patient reasonable opportunities to get food and water and to use a bathroom; and (5) the patient may not be transported with a state prisoner.

Article 46.04 was first enacted in 1999 after there had been a series of problems and incidents in connection with the transportation of persons with mental illness from county jails and courts to state mental health facilities. The Bill Analysis accompanying the 1999 enactment stated, “Many of these patients were spending long periods of time on buses making circular routes; being transported in buses without air-conditioning or heating; and being deprived of sufficient bathroom stops.”

Moreover, as stated in the Bill Analysis, some of the doctors at the North Texas State Hospital (Vernon) registered complaints that their patients were “suffering severe emotional and mental distress as well as life-threatening physical risks; … in some cases patients have remained shackled for up to twenty-eight hours while being transported; … denied adequate food and drink; and … [transported in vans] with no functional air conditioning and windows closed during periods of extreme heat.” The Bill Analysis concluded that, “[t]hese practices are demeaning, inhumane, and dangerous.”

WHAT IF THE DEFENDANT’S COMPETENCY IS RESTORED AFTER BEING FOUND INCOMPETENT BUT BEFORE BEING TRANSPORTED FOR TREATMENT? As described above, there has been a persistent problem of having sufficient forensic hospital bed space available to handle the large volume of defendants who have been found incompetent to stand trial and who need inpatient services. Often, a defendant might languish in jail for many months before bed space becomes available. In some situations, it is possible that the defendant will agree to medication treatment at the jail and the treatment will result in the restoration of his or her competency subsequent to the court’s order for competency restoration treatment, but prior to the person’s transportation to a facility or program for treatment. Prior to 2011, Chapter 46B did not address this possibility. However, H.B. 2725 in 2011 added Article 46B.0755, which sets out straightforward procedures for addressing such a scenario.

Art. 46B.0755. Procedures on Credible Evidence of Immediate Restoration. (a) Notwithstanding any other provision of this subchapter, if the court receives credible evidence indicating that the defendant has been restored to competency at any time after the defendant’s incompetency trial under Subchapter C but before the defendant is transported under Article 46B.075 to the facility or program, as applicable, the court may appoint disinterested experts to reexamine the defendant in accordance with Subchapter B. The court is not required to appoint the same expert or experts who performed the initial examination of the defendant under that subchapter. (b) If after a reexamination of the defendant the applicable expert’s report states an opinion that the defendant remains incompetent, the court’s order

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under Article 46B.0711, 46B.072, or 46B.073 remains in effect, and the defendant shall be transported to the facility or program as required by Article 46B.075. If after a reexamination of the defendant the applicable expert’s report states an opinion that the defendant has been restored to competency, the court shall withdraw its order under Article 46B.0711, 46B.072, or 46B.073 and proceed under Subsection (c) or (d). (c) The court shall find the defendant competent to stand trial and proceed in the same manner as if the defendant had been found restored to competency at a hearing if: (1) both parties agree that the defendant is competent to stand trial; and (2) the court concurs. (d) The court shall hold a hearing to determine whether the defendant has been restored to competency if any party fails to agree or if the court fails to concur that the defendant is competent to stand trial. If a court holds a hearing under this subsection, on the request of the counsel for either party or the motion of the court, a jury shall make the competency determination. For purposes of the hearing, incompetency is presumed, and the defendant's competency must be proved by a preponderance of the evidence. If after the hearing the defendant is again found to be incompetent to stand trial, the court shall issue a new order under Article 46B.0711, 46B.072, or 46B.073, as appropriate based on the defendant's current condition.

DOCUMENTATION TO BE PROVIDED TO THE TREATMENT FACILITY. Article 46B.076 identifies an array of information that the court is to order to be provided to the treatment facility.

Art. 46B.076. Court’s Order. (a) If the defendant is found incompetent to stand trial, not later than the date of the order of commitment or of release on bail, as applicable, the court shall send a copy of the order to the applicable facility or program. The court shall also provide to the facility or program copies of the following made available to the court during the incompetency trial: (1) reports of each expert; (2) psychiatric, psychological, or social work reports that relate to the mental condition of the defendant; (3) documents provided by the attorney representing the state or the attorney representing the defendant that relate to the defendant's current or past mental condition; (4) copies of the indictment or information and any supporting documents used to establish probable cause in the case; (5) the defendant's criminal history record; and (6) the addresses of the attorney representing the state and the attorney representing the defendant.

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(b) The court shall order that the transcript of all medical testimony received by the jury or court be promptly prepared by the court reporter and forwarded to the applicable facility or program.

Article 46B.076 requires that substantially more documentation be provided to the treatment facility relating to the defendant than under former law. The S.B. 553 task force received testimony from officials at the North Texas State Hospital in Vernon that under prior law their facility would frequently receive only sketchy medical information or documentation about the criminal case when a defendant arrived at the hospital for competency restoration services. Accordingly, the task force endeavored to delineate an array of documentation viewed to be beneficial to a treatment team to allow for an expeditious delivery of appropriate services. The list includes not only the qualified expert’s report, but also other medical files relating to the person’s mental condition, copies of the charging documents such as the indictment or information, the person’s criminal history record, and – in cases involving a trial – a transcript of the medical testimony. S.B. 867 in 2007 added language requiring similar documentation to be provided in the case of competency restoration at an outpatient facility.

COMPETENCY RESTORATION TREATMENT. Article 46B.077 requires the treating facility, jail-based competency restoration program, or outpatient competency restoration program to develop and implement an individualized treatment plan with the goal of enabling the defendant to attain competency.

Art. 46B.077. Individual Treatment Program. (a) The facility or jail-based competency restoration program to which the defendant is committed or the outpatient competency restoration program to which the defendant is released on bail shall: (1) develop an individual program of treatment; (2) assess and evaluate whether the defendant is likely to be restored to competency in the foreseeable future; and (3) report to the court and to the local mental health authority or to the local intellectual and developmental disability authority on the defendant’s progress toward achieving competency. (b) If the defendant is committed to an inpatient mental health facility, a residential care facility, or jail-based competency restoration program, the facility or program shall report to the court at least once during the commitment period. (c) If the defendant is released to an outpatient competency restoration program, the program shall report to the court: (1) not later than the 14th day after the date on which the defendant’s competency restoration services begin; and (2) until the defendant is no longer released to the program, at least once during each 30-day period following the date of the report required by Subdivision (1).

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Article 46B.077(a)(3) and (b) also require an inpatient treatment facility or jailbased program to provide a report to the committing court and the local mental health authority regarding the defendant’s progress toward attaining competency at least once during the commitment period. Moreover, there are additional reporting requirements set forth in subsection (c) if the defendant is released to an outpatient competency restoration program.

DISMISSAL OF CHARGES DURING INCOMPETENCY COMMITMENT. If the underlying criminal charges pending against the defendant are dismissed during the individual’s commitment for competency restoration, the facility competency restoration program, upon receipt of the court’s order of dismissal, is required to discharge the defendant into the care of the sheriff’s office for transportation back to the committing court. A commitment relating to a criminal case cannot stand if the underlying charges are no longer extant. Below I have set forth the text of both Article 46B.078 and a related subsection, Article 46B.082(a), which discusses the requirements relating to transportation after a dismissal.

Art. 46B.078. Charges Subsequently Dismissed. If the charges pending against a defendant are dismissed, the court that issued the order under Article 46B.0711, 46B.072, or 46B.073 shall send a copy of the order of dismissal to the sheriff of the county in which the court is located and to the head of the facility, the provider of the jail-based competency restoration program, or the provider of the outpatient competency restoration program, as appropriate. On receipt of the copy of the order, the facility or program shall discharge the defendant into the care of the sheriff or sheriff’s deputy for transportation in the manner described by Article 46B.082.

Art. 46B.082. Transportation of Defendant to Court. (a) On notification from the court under Article 46B.078, the sheriff of the county in which the court is located or the sheriff’s deputy shall transport the defendant to the court.

NOTICE AND REPORT TO COURT. Article 46B.079 covers the requirements for the treating entity to provide notice and a report to the court once the initial commitment period is close to its conclusion.

Art. 46B.079. Notice and Report to Court. (a) The head of the facility, the provider of jail-based competency restoration services, or the provider of the outpatient competency restoration program, as appropriate, not later than the 15th day before the date on which the initial restoration period is to expire according to the terms of the order or under Article 46B.0095 or other applicable provisions of this chapter, shall notify the applicable court that the period is about to expire. (b) The head of the facility or jail-based competency restoration program provider shall promptly notify the court when the head of the facility or program provider believes that:

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(1) the defendant is clinically ready and can be safely transferred to a competency restoration program for education services but has not yet attained competency to stand trial; (2) the defendant has attained competency to stand trial; or (3) the defendant is not likely to attain competency in the foreseeable future. (b-1) The outpatient competency restoration program provider shall promptly notify the court when the program provider believes that: (1) the defendant has attained competency to stand trial; or (2) the defendant is not likely to attain competency in the foreseeable future. (c) When the head of the facility or program provider gives notice to the court under Subsection (a), (b), or (b-1), the head of the facility or program provider also shall file a final report with the court stating the reason for the proposed discharge or transfer under this chapter and including a list of the types and dosages of medications prescribed for the defendant while the defendant was receiving competency restoration services in the facility or through the program. The court shall provide to the attorney representing the defendant and the attorney representing the state copies of a report based on notice under this article, other than notice under Subsection (b)(1), to enable any objection to the findings of the report to be made in a timely manner as required under Article 46B.084(a-1). (d) If the head of the facility or program provider notifies the court that the initial restoration period is about to expire, the notice may contain a request for an extension of the period for an additional period of 60 days and an explanation for the basis of the request. An explanation provided under this subsection must include a description of any evidence indicating a reduction in the severity of the defendant’s symptoms or impairment.

Article 46B.079(a) requires the treatment facility, jail-based program, or outpatient restoration program to notify the court not later than the 15th day prior to either (1) the date when the initial restoration treatment period set forth in the court’s order is set to expire, or (2) the maximum statutory time limit for the person’s possible sentence per Article 46B.0095 (discussed above). In addition, subsections (b) and (b-1) require prompt notification to the court if the services provider has determined either that the defendant has attained competency or that the defendant likely will not attain competency in the foreseeable future.

Importantly, if the treatment facility or program provider is of the view that the original 60-day or 120-day restoration period should be extended, the notice under this Article should include a request for an extension for another 60 days of competency restoration services. The request for this one-time extension must include an explanation of the basis for the request, and a description of any reduction

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achieved to date in the severity of the defendant’s symptoms or impairment. Article 46B.079(d).

Additionally, if there is a recommendation for a discharge or transfer under Article 46B.079, subsection (c) requires that the facility or program provider file a report that sets forth the reason for the proposed discharge or transfer and include information about the types and dosages of medications by which the defendant had been treated. This should assist with continuity of care.

Language added to subsection (b)(1) in 2017 by S.B. 1326 also requires an inpatient facility or jail-based program to notify the court if the defendant is clinically ready (presumably through medication stabilization) for a safe transition to an outpatient competency restoration program for education services with the continuing goal of attaining competency. The legislature recognized that after medication stabilization, it might be desirable to transfer a defendant to a lessrestrictive setting for any remaining competency restoration services. Of course, this would require an accessible continuum of services in the community to permit a stepdown from, for example, a jail-based setting to an outpatient program. Few communities currently have this array of services, although one example is StarCare Specialty Health System (the community mental health authority in Lubbock), which operates both a jail-based competency restoration program and an outpatient competency restoration program. For a thoughtful and critical discussion of subsection (b)(1), consider Floyd L. Jennings, supra at http://www.voiceforthedefenseonline.com/story/statutory-changes-regarding-mentally-illdefendants (noting the limited availability of programs and observing that in general

the “standard for restoration is so low that once a person has any reasonable clinical stability they are restored”).

COMPETENCY RESTORATION EDUCATION SERVICES. As part of adding the foregoing possibility of a step-down transfer of a person receiving inpatient or jail-based competency restoration services upon medication stabilization, H.B. 1326 in 2017 also added language defining and describing “competency restoration education services.” This language is set forth in Article 46B.0805:

Art. 46B.0805. Competency Restoration Education Services. (a) On notification from the head of a facility or a jail-based competency restoration program provider under Article 46B.079(b)(1), the court shall order the defendant to receive competency restoration education services in a jail-based competency restoration program or an outpatient competency restoration program, as appropriate and if available. (b) If a defendant for whom an order is entered under Subsection (a) was committed for competency restoration to a facility other than a jail-based competency restoration program, the court shall send a copy of that order to: (1) the sheriff of the county in which the court is located; (2) the head of the facility to which the defendant was committed for competency restoration; and

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(3) the local mental health authority or local intellectual and developmental disability authority, as appropriate. (c) As soon as practicable but not later than the 10th day after the date of receipt of a copy of an order under Subsection (b)(2), the applicable facility shall discharge the defendant into the care of the sheriff of the county in which the court is located or into the care of the sheriff's deputy. The sheriff or sheriff’s deputy shall transport the defendant to the jail-based competency restoration program or outpatient competency restoration program, as appropriate. (d) A jail-based competency restoration program or outpatient competency restoration program that receives a defendant under this article shall give to the court: (1) notice regarding the defendant’s entry into the program for purposes of receiving competency restoration education services; and (2) subsequent notice as otherwise required under Article 46B.079.

EXTENSION OF TREATMENT ORDER. Chapter 46B authorizes one 60-day extension of the original treatment order for competency restoration. Article 46B.080 sets forth the grounds for such an extension.

Art. 46B.080. Extension of Order. (a) On a request of the head of a facility or a program provider that is made under Article 46B.079(d) and notwithstanding any other provision of this subchapter, the court may enter an order extending the initial restoration period for an additional period of 60 days. (b) The court may enter an order under Subsection (a) only if the court determines that: (1) the defendant has not attained competency; and (2) an extension of the initial restoration period will likely enable the facility or program to restore the defendant to competency within the period of the extension. (c) The court may grant only one 60-day extension under this article in connection with the specific offense with which the defendant is charged.

If the treatment facility or program provider submits a proper and timely notice as described by Article 46B.079(d), Article 46B.080 authorizes the court to order one 60-day extension of the original competency restoration commitment order. It is important to stress that, per subsection (c), the court can grant only one such extension in connection with the specific offense charged. Moreover, before an extension may be ordered, the court must determine, based on the information provided by the treating entity, that the extension “will likely enable the facility or program to restore the defendant to competency within the period of the extension.”

Article 46B.080(b)(2).

Unlike prior law under section 5 of old Art. 46.02, in which the “criminal” commitment for competency restoration could last for up to 18 months, the maximum

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duration for treatment under the modern, current law is six months – assuming both an original 120 days (for felonies or for outpatient orders) plus an extension of another 60 days. For persons charged with Class B misdemeanors in any treatment setting, and for those charged with Class A misdemeanors who are ordered either to inpatient services or to a jail-based program, the maximum period is 60 days plus one possible 60-day extension. Any further commitment orders must be entered under the provisions of the civil provisions of the Texas Mental Health Code (set forth in the Health and Safety Code and described infra).

RETURN TO THE COURT FOLLOWING COMPETENCY RESTORATION SERVICES WHILE ON BAIL. Separate from the situation identified in Art. 46B.078 relating to the dismissal of criminal charges and the scenario covered by Article 46B.082(b) – discussed below, Article 46B.081 identifies the timing for returning a defendant who was released on bail.

Art. 46B.081. Return to Court. Subject to Article 46B.082(b), a defendant committed or released on bail under this subchapter shall be returned to the applicable court as soon as practicable after notice to the court is provided under Article 46B.079(a), (b)(2), (b)(3), or (b-1), but not later than the date of expiration of the period for restoration specified by the court under Article 46B.0711, 46B.072, or 46B.073.

Per Article 46B.081, the defendant is to be returned to the criminal court no later than the date of expiration of the competency restoration period ordered by the court.

The defendant’s return to the court should, of course, come earlier in cases in which the treatment facility or program provider has notified the court that the defendant has attained competency in a shorter period of time. This statute should also be read in context with Article 46B.080, which allows for one 60-day extension of the initial competency restoration order.

ADDITIONAL TRANSPORTATION PROVISIONS. As the reader will have noted, Chapter 46B includes several different provisions regarding transportation.

Article 46B.082(b) requires that the treatment facility or program must cause the defendant to be transported back to the committing court if the person has not been transported “before the 15th day after the date on which the court received” the notice contemplated by Article 46B.079, or if the defendant has not been transported back to the court by the end of the ordered restoration period.

Art. 46B.082. Transportation of Defendant to Court. (a) On notification from the court under Article 46B.078, the sheriff of the county in which the court is located or the sheriff’s deputy shall transport the defendant to the court. (b) If before the 15th day after the date on which the court received notification under Article 46B.079(a), (b)(2), (b)(3), or (b-1) a defendant committed to a facility or jail-based competency restoration program or ordered to participate in an outpatient competency restoration program has not been transported to the court that issued the order under Article 46B.0711, 46B.072, or 46B.073, as

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applicable, the head of the facility or provider of the jail-based competency restoration program to which the defendant is committed or the provider of the outpatient competency restoration program in which the defendant is participating shall cause the defendant to be promptly transported to the court and placed in the custody of the sheriff of the county in which the court is located. The county in which the court is located shall reimburse the Health and Human Services Commission or program provider, as appropriate, for the mileage and per diem expenses of the personnel required to transport the defendant, calculated in accordance with rates provided in the General Appropriations Act for state employees.

The practical effect of this provision is to require transport of the defendant back to the court by the end of the initial treatment restoration period, or 60 days thereafter in cases in which the one-time extension has been granted. The provision is intended to require the treatment period limit to be the actual limit, inclusive of transportation requirements. The statute puts the burden of transporting the individual on the treatment facility or program, but also requires the originating county to reimburse the costs if the facility or program has to provide the transportation. It is critical for both the treatment facility and the court to keep track of the time periods.

MEDICATION ADMINISTRATION DURING TRANSPORTATION BY SHERIFF’S OFFICE. S.B. 1326 in 2017 added Article 46B.0825 pertaining to medication administration requirements imposed on sheriffs and deputies who are transporting a defendant under various provisions of Chapter 46B.

Art. 46B.0825. Administration of Medication While in Custody of Sheriff. (a) A sheriff or sheriff’s deputy having custody of a defendant for transportation as required by Article 46B.0805 or 46B.082 or during proceedings described by Article 46B.084 shall, according to information available at the time and unless directed otherwise by a physician treating the defendant, ensure that the defendant is provided with the types and dosages of medication prescribed for the defendant. (b) To the extent funds are appropriated for that purpose, a sheriff is entitled to reimbursement from the state for providing the medication required by Subsection (a). (c) If the sheriff determines that funds are not available from the state to reimburse the sheriff as provided by Subsection (b), the sheriff is not required to comply with Subsection (a).

INFORMATION REGARDING POSSIBLE CIVIL COMMITMENT TO BE PROVIDED BY TREATMENT PROVIDER. Article 46B.083 requires the facility head, jail-based competency services provider, or outpatient competency restoration provider to submit to the court information in support of a possible civil commitment following the competency restoration period.

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Art. 46B.083. Supporting Commitment Information Provided by Facility or Program Provider. (a) If the head of the facility, the jail-based competency restoration program provider, or the outpatient competency restoration provider believes that the defendant is a person with mental illness and meets the criteria for court-ordered mental health services under Subtitle C, Title 7, Health and Safety Code, the head of the facility or the program provider shall have submitted to the court a certificate of medical examination for mental illness. (b) If the head of the facility, the jail-based competency restoration program provider, or the outpatient competency restoration provider believes that the defendant is a person with an intellectual disability, the head of the facility or the program provider shall have submitted to the court an affidavit stating the conclusions reached as a result of the examination.

As under prior law, under Article 46B.083 the head of the treatment facility or other competency restoration program provider must submit to the court a certificate of medical examination for mental illness if the facility head or program provider is of the view that that the defendant is a person with mental illness who meets the criteria for court-ordered inpatient mental health services under the Texas Health & Safety Code. Similarly, Article 46B.083(b) requires a comparable submission of a supporting affidavit in the case of a person with an intellectual disability.

DETERMINATIONS AS TO WHETHER A DEFENDANT IS MANIFESTLY DANGEROUS. Article 46B.0831 was added in 2019 to make it clear that the Health and Human Services Commission has significant flexibility and discretion in determining whether a defendant is deemed manifestly dangerous or not. This relates, in particular, to the appropriate placement for competency restoration services. Given this change in the law, after September 1, 2019, a trial court may no longer commit a defendant to a maximum security facility based upon the nature of the charge itself. Instead, the person may be committed to any facility as designated by the Health and Human Services Commission, which will make a determination of the appropriate clinical setting in which the person is to be treated. The impact of this legislative change should have some effect on the lengthy waitlists for persons charged with aggravated offenses. Some are concerned, however, that the legislation will, correspondingly, result in downward pressure for forensic bed space, now occupied by alleged misdemeanants, given that misdemeanor cases have previously been on waitlists for far less time. Thus, this legislation could impact the number of misdemeanor cases that “time-out” due to lack of space in restoration programs.

Art. 46B.0831. Determination Whether Defendant is Manifestly Dangerous. A defendant committed to a maximum security unit by the commission may be assessed, at any time before the defendant is restored to competency, by the review board established under Section 46B.105 to determine whether the defendant is manifestly dangerous. If the review board determines the defendant is not manifestly dangerous,

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the commission shall transfer the defendant to a non-maximum security facility designated by the commission.

PROCEDURAL STEPS UPON CONCLUSION OF CRIMINAL COMMITMENT FOR COMPETENCY RESTORATION. Article 46B.084 sets forth the next procedural steps to be followed upon the defendant’s return to the court after the maximum commitment for competency restoration (either the initial period or the initial period plus 60 days in the event the one-time extension was granted).

Art. 46B.084. Proceedings on Return of Defendant to Court. (a)(1) Not later than the next business day following the return of a defendant to the court, the court shall notify the attorney representing the state and the attorney for the defendant regarding the return. Within three business days of the date that notice is received under this subsection or, on a showing of good cause, a later date specified by the court, the attorney for the defendant shall meet and confer with the defendant to evaluate whether there is any suggestion that the defendant has not yet regained competency.

(2) Notwithstanding Subdivision (1), in a county with a population of less than one million or in a county with a population of four million or more, as soon as practicable following the date of the defendant’s return to the court, the court shall provide the notice required by that subdivision to the attorney representing the state and the attorney for the defendant, and the attorney for the defendant shall meet and confer with the defendant as soon as practicable after the date of receipt of that notice. (a-1)(1) Following the defendant’s return to the court, the court shall make a determination with regard to the defendant’s competency to stand trial. The court may make the determination based only on the most recent report that is filed under Article 46B.079(c) and based on notice under that article, other than notice under Subsection (b)(1) of that article, and on other medical information or personal history information relating to the defendant. A party may object in writing or in open court to the findings of the most recent report not later than the 15th day after the date on which the court received the applicable notice under Article 46B.079. The court shall make the determination not later than the 20th day after the date on which the court received the applicable notice under Article 46B.079, or not later than the fifth day after the date of the defendant’s return to court, whichever comes first, regardless of whether a party objects to the report as described by this subsection and the issue is set for hearing under Subsection (b).

(2) Notwithstanding Subdivision (1), in a county with a population of less than one million or in a county with a population of four million or more, the court shall make the determination described by that subdivision not later than the 20th day after the date on which the court received notification under

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Article 46B.079, regardless of whether a party objects to the report as described by that subdivision and the issue is set for a hearing under Subsection (b). (b) If a party objects under Subsection (a-1), the issue shall be set for a hearing.

The hearing is before the court, except that on motion by the defendant, the defense counsel, the prosecuting attorney, or the court, the hearing shall be held before a jury. (b-1) If the hearing is before the court, the hearing may be conducted by means of an electronic broadcast system as provided by Article 46B.013.

Notwithstanding any other provision of this chapter, the defendant is not required to be returned to the court with respect to any hearing that is conducted under this article in the manner described by this subsection. (c) [Repealed in 2007 by S.B. 867] (d)(1) If the defendant is found competent to stand trial, on the court’s own motion criminal proceedings in the case against the defendant shall be resumed not later than the 14th day after the date of the court’s determination under this article that the defendant’s competency has been restored.

(2) Notwithstanding Subdivision (1), in a county with a population of less than one million or in a county with a population of four million or more, on the court’s own motion criminal proceedings in the case against the defendant shall be resumed as soon as practicable after the date of the court’s determination under this article that the defendant’s competency has been restored. (d-1) This article does not require the criminal case to be finally resolved within any specific period. (e) If the defendant is found incompetent to stand trial and if all charges pending against the defendant are not dismissed, the court shall proceed under Subchapter E. (f) If the defendant is found incompetent to stand trial and if all charges pending against the defendant are dismissed, the court shall proceed under Subchapter F. The lack of timely adjudications of defendants upon their return to the county jails following competency restoration services has been a recurring problem across Texas. Article 46B.084 requires the court to make a prompt determination regarding the defendant’s competency to stand trial upon the person’s return to the court following the commitment. The legislature appears to be quite serious about this principle. In fact, the legislation has been amended multiple times, including significant changes in 2015, to tighten up the deadlines.

It should be noted, however, that H.B. 211 in 2015 created differing deadlines depending on the size of the counties. For most counties (those with populations under one million or greater than four million), the relevant provisions are primarily subsections (a)(2), (a-1)(2), and (d-1)(2). According to 2010 census data, these provisions apply to Harris County (over four million in population) and all other

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counties except for Dallas, Tarrant, Bexar, and Travis Counties, which are all over one million in population, but less than four million.

Accordingly, for most Texas counties, as soon as practicable after the defendant’s return to the court, the court must notify the prosecutor and defense counsel, and defense counsel must meet with his or her client. In addition, the court is charged with making a determination about the defendant’s competency. In most counties, per subsection (a-1)(2), the court must do so within 20 days of the court’s receipt of the notice from the facility or services provider under Article 46B.079 that the defendant is being returned to the county. Assuming that the report from the head of the facility or other program provider concludes that the defendant is competent to be tried, the court may determine and conclude that the defendant is competent based solely on that most recent report and medical information or personal history regarding the defendant. However, if there is an objection to such a finding, subsection (b) requires the court to hold a further competency hearing. Any such objection must be made within 15 days of the court’s receipt of the Article 46B.079 notice from the treatment facility or program. Such a hearing is to be conducted before the court unless the defendant, the defense counsel, the prosecutor, or the court seeks a jury trial. Moreover, even in the case of an objection, the hearing must take place within 20 days of the court’s receipt of the notice.

In Dallas, Tarrant, Bexar, and Travis Counties, given the 2015 amendments to Article 46B.084, the deadlines are even tighter. Under subsection (a)(1), the court must notify counsel no later than the next business day following the defendant’s return to the county, and defense counsel must confer with the defendant within three days of receiving the court’s notice. Then, under subsection (a-1)(1), in these four counties, the court must make the determination about the defendant’s competency within 20 days of receiving the facility’s notice about the defendant’s impending return to the county or the fifth day after the date of the defendant’s return, whichever occurs first, and regardless of whether there has been an objection and a need for a hearing.

The reason for these short periods stems from a very real concern that when a period of time elapses after a defendant is transported back to the county from the treatment facility and prior to the resumption of criminal proceedings, it is not unusual for the defendant – while once viewed as competent by the treating physicians – to deteriorate in medical condition. And, there is then a risk that the defendant will no longer be competent to proceed. This is particularly true for a defendant with mental illness who stops taking prescribed medications for the mental illness or who is not being provided with appropriate continuity of care. The county jail should assure that the individualized treatment plan for the defendant is being continued, and the committing court should resume the proceedings promptly as set out in this statute.

The criminal courts around the state must implement and adhere to administrative procedures to assure that the short time periods prescribed by Article 46B.084 are being applied. All too often criminal defendants return to the committing

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court’s jurisdiction, but languish in jail before the process is resumed. The 2015 legislation, if followed, should help limit the times in which defendants return to an incompetent state having once had their competency restored.

If the court finds the defendant to be competent to be tried, and no objection has been lodged, in most Texas counties subsection (d)(2) calls for the resumption of the underlying criminal proceedings “as soon as practicable.” The same requirement applies if there was an objection and after a hearing the court (or jury) concluded that the defendant is competent. Per subsection (d)(1), however, in Dallas, Tarrant, Bexar, and Travis Counties the criminal proceedings must resume within 14 days.

What about a situation, however, in which the head of the treatment facility or other program provider has concluded that the defendant is competent, but defense counsel believes that the defendant is no longer competent. At that point, defense counsel should object to the findings in the most recent report. The statute is silent, however, with respect to whether the court should appoint a new examiner at that point. Nonetheless, if there is evidence that the defendant is no longer competent notwithstanding the conclusion in the most recent report, the court should appoint a qualified psychiatrist or psychologist to conduct a new evaluation. Of course, then, the 20-day time period for the judge’s “determination” under Article 46B.084 would no longer appear to be either practical or logical because the evaluator must have the requisite time to conduct the examination and prepare the proper report.

Article 46B.084 is also silent about the burden of proof when there is a defense objection to the conclusion set forth in the most recent report by the head of the facility or other services provider. There is a plausible argument under Moralez v.

State, 450 S.W.3d 553, 559-60 (Tex. App. – Houston [14th Dist.] 2014, pet. ref’d) that the facility’s (or other provider’s) opinion on competency would return us to the defendant’s initial burden of proof on the issue. However, Moralez was focused on the burden of proof in Article 46B.113 proceedings, and so is not directly on point.

In addition, what about a situation in which the head of the treatment facility or other program provider has concluded that the defendant is likely not going to attain competency in the foreseeable future? (Although this scenario is far less likely for a person who has a treatable mental illness than for a defendant who has an intellectual disability, it is still possible.) In this type of scenario, the court may make a determination that the defendant is incompetent to be tried based on the report and other medical information or personal history information. Absent an objection, the court is then to enter a finding of incompetency. Alternatively, if there is an objection – presumably by the prosecutor, there must be a hearing before the court or a jury per subsection (b), and the same time deadlines are applicable as described above. In addition, subsection (b-1) is also relevant in this type of situation. It allows the court to conduct the hearing by means of interactive video. In such a case, the defendant does not have to be returned from the treatment facility to the county with criminal jurisdiction. This approach would seem to be particularly appropriate in a case in which the defendant’s competency has not been restored.

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Subsections (e) and (f) come into play if there is a determination by the court, either following a hearing or not, that the defendant remains incompetent to be tried.

Subsection (e) directs that the court must then proceed under Subchapter E of Chapter 46B if the defendant is incompetent to stand trial and the underlying charges against the defendant have not been dismissed. Alternatively, subsection (f) requires the court to proceed under Subchapter F of Chapter 46B if the defendant is incompetent to stand trial and the prosecutor has opted to dismiss the underlying criminal charges.

NO SUBSEQUENT COMMITMENTS OR EXTENSIONS ALLOWED UNDER THE CODE OF CRIMINAL PROCEDURE. Article 46B.085 bars any further court orders for competency restoration treatment under Subchapter D of Chapter 46B following the initial 60-day or 120-day period, other than one 60-day extension. As described above, the duration of that initial period varies depending on the situs of the restoration treatment and the level of offense. All felonies, for example, may result in an initial commitment period of 120 days (with only one possible 60-day extension) for competency restoration treatment in connection with the same offense. Any further court orders relating to commitment for treatment must be made in connection with either Subchapter E or Subchapter F, depending on whether the criminal charges remain pending. Under those provisions, which are discussed below, further treatment can only be ordered through use of the Health & Safety Code’s commitment procedures. Correspondingly, it would thwart the legislative intent for a court to order serial restoration commitments if the defendant is facing multiple charges, but all such charges have resulted out of the same nexus of events.

Art. 46B.085. Subsequent Restoration Periods and Extensions of those Periods Prohibited. (a) The court may order only one initial period of restoration and one extension under this subchapter in connection with the same offense. (b) After an initial restoration period and an extension are ordered as described

by Subsection (a), any subsequent court orders for treatment must be issued under Subchapter E or F. COURT ORDERS FOR ADMINISTRATION OF MEDICATION. Art. 46B.086 authorizes a court, following a due process hearing, to order medications in certain limited situations.

Art. 46B.086. Court-ordered Medications. (a) This article applies only to a defendant: (1) who is determined under this chapter to be incompetent to stand trial; (2) who either: (A) remains confined in a correctional facility, as defined by Section 1.07, Penal Code, for a period exceeding 72 hours while awaiting transfer to an inpatient mental health facility, a residential care facility, or an outpatient competency restoration program;

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(B) is committed to an inpatient mental health facility, a residential care facility, or a jail-based competency restoration program for the purpose of competency restoration; (C) is confined in a correctional facility while awaiting further criminal proceedings following competency restoration; or (D) is subject to Article 46B.072, if the court has made the determinations required by Subsection (a-1) of that article; (3) for whom a correctional facility or jail-based competency restoration program that employs or contracts with a licensed psychiatrist, an inpatient mental health facility, a residential care facility, or an outpatient competency restoration program provider has prepared a continuity of care plan that requires the defendant to take psychoactive medications; and (4) who, after a hearing held under Section 574.106 or 592.156, Health and Safety Code, if applicable, has been found to not meet the criteria prescribed by Sections 574.106(a) and (a-1) or 592.156(a) and (b), Health and Safety Code, for court-ordered administration of psychoactive medications. (b) If a defendant described by Subsection (a) refuses to take psychoactive medications as required by the defendant’s continuity of care plan, the director of the facility or the program provider, as applicable, shall notify the court in which the criminal proceedings are pending of that fact not later than the end of the next business day following the refusal. The court shall promptly notify the attorney representing the state and the attorney representing the defendant of the defendant’s refusal. The attorney representing the state may file a written motion to compel medication. The motion to compel medication must be filed not later than the 15th day after the date a judge issues an order stating that the defendant does not meet the criteria for court-ordered administration of psychoactive medications under Section 574.106 or 592.156, Health and Safety Code, except that, for a defendant in an outpatient competency restoration program, the motion may be filed at any time. (c) The court, after notice and after a hearing held not later than the 10th day after the motion to compel medication is filed, may authorize the director of the facility or the program provider, as applicable, to have the medication administered to the defendant, by reasonable force if necessary.

A hearing under this subsection may be conducted using an electronic broadcast system as provided by Article 46B.013. (d) The court may issue an order under this article only if the order is supported by the testimony of two physicians, one of whom is the physician at or with the applicable facility or program who is prescribing the medication as a component of the defendant’s continuity of care plan and another who is not otherwise involved in proceedings against the

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defendant. The court may require either or both physicians to examine the defendant and report on the examination to the court. (e) The court may issue an order under this article if the court finds by clear and convincing evidence that: (1) the prescribed medication is medically appropriate, is in the best medical interest of the defendant, and does not present side effects that cause harm to the defendant that is greater than the medical benefit to the defendant; (2) the state has a clear and compelling interest in the defendant obtaining and maintaining competency to stand trial; (3) no other less invasive means of obtaining and maintaining the defendant’s competency exists; and (4) the prescribed medication will not unduly prejudice the defendant’s rights or use of defensive theories at trial. (f) A statement made by a defendant to a physician during an examination under Subsection (d) may not be admitted against the defendant in any criminal proceeding, other than at: (1) a hearing on the defendant’s incompetency; or (2) any proceeding at which the defendant first introduces into evidence the contents of the statement. (g) For a defendant described by Subsection (a)(2)(A), an order issued under this article: (1) authorizes the initiation of any appropriate mental health treatment for the defendant awaiting transfer; and (2) does not constitute authorization to retain the defendant in a correctional facility for competency restoration treatment.

It is not uncommon for a person with mental illness who is so ill as to have been adjudicated incompetent to stand trial also to be unable to provide effective consent for the appropriate medications necessary for restoration and treatment. And, lacking valid consent, emergency situations, or rare circumstances in which the defendant has a guardian who can provide consent, court intervention is required. 16 Article 46B.086 is directed at the possibility of court-ordered medication.

Article 46B.086 was perhaps the one controversial aspect of Chapter 46B during its initial enactment, and it was the subject of brief debate during the 2003 Senate Jurisprudence Committee hearing on S.B. 1057. There was some adverse testimony and a few questions raised about the section, as it was then drafted, during the committee’s consideration. The provision was also subject to intensive scrutiny and 16 Some of the analysis set forth in this subsection relating to Article 46B.086, including this first paragraph, is drawn from a short CLE paper that was co-authored by Professor Shannon and Dr. Floyd Jennings, Chief, Misdemeanor Mental Health Division, Harris County Public Defender’s Office. The presentation was entitled, “Practice Tips: Competency Cases,” and was a part of a conference in February 2013 sponsored by the Texas Criminal Defense Lawyers Association in San Antonio.

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discussions during the S.B. 553 task force process. The article was initially enacted to address concerns regarding so-called “revolving door” commitments in which a defendant who, after having been restored to competency at the treatment facility, refuses to take medication prescribed as part of the defendant’s individualized treatment/continuity of care plan after returning to the county jail and awaiting further criminal proceedings. Not surprisingly, in many such cases, the person’s mental condition will then deteriorate and he or she can again become incompetent.

To address this type of situation, Article 46B.086 created a due process hearing procedure by which a court can compel a defendant to take medication to maintain his or her competency to be tried.

Shortly following the 2003 enactment of the statute, however, the United States Supreme Court decided Sell v. United States, 123 S.Ct. 2174 (2003). In Sell, the Court observed that earlier cases had determined that the Constitution permits the Government involuntarily to administer antipsychotic drugs to a mentally ill defendant facing serious criminal charges in order to render that defendant competent to stand trial, but only if the treatment is medically appropriate, is substantially unlikely to have side effects that may undermine the fairness of the trial, and, taking account of less intrusive alternatives, is necessary significantly to further important governmental trial-related interests.

Id. at 2184-85. In Sell, however, the Court found impermissible the involuntary medication of a defendant for purposes of trial competency when that defendant was not dangerous, was competent, and the experts had not focused on “the need to bring him to trial.” Id. at 2186-87. We stated the following in the 2004 edition of this book: The criteria set forth in new Art. 46B.086 for medication hearings appear to square with the standard set forth in Sell; however, Sell likely places some limits on the employment of the new statute – particularly if the defendant is not dangerous to self or others. Indeed, Mr. Sell was a dentist charged with fraud. Thus, before a prosecutor endeavors to seek an order under Art. 46B.086, a close examination of Sell is important.

As Dr. Jennings and I described elsewhere, “Unfortunately, the forced medication statutes in Texas are convoluted and seeking a forced medication order for a defendant [who has been] adjudicated incompetent is a cumbersome process. … [The required] two-step process involves both a civil and a criminal court.” 17 Specifically, because of concerns regarding Sell, in 2005 the legislature amended Article 46B.086 to require an additional, threshold medication hearing in the probate court. This 2005 legislation added the substance of what is now included in subsection (a)(4), which – for a defendant with mental illness – requires an initial medication hearing under § 574.106 of the Texas Health & Safety Code.

17

Id.

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Under Health & Safety Code § 574.106, the state must file a petition seeking to authorize administration of psychoactive medication with a court having mentalhealth jurisdiction (usually either the constitutional county court or a statutory court with probate jurisdiction). The standards set forth under § 574.106(a-1) require the court to find either dangerousness to self or others, or incapacity and best interest if the person has been subject to court-ordered mental health services in the six months preceding a hearing under that section. Only if such an order is denied by the civil court under the Chapter 574 proceeding will 46B.086 apply – but, then, back in the criminal court. 18 Thus, given the post-Sell amendments, article 46B.086 mandates a threshold medication hearing under chapter 574 of the Health and Safety Code, to be held by the probate court, before the criminal court can conduct a medication hearing under article 46B.086. In effect, the legislature adhered to the admonition in Sell by which the Court had urged that a criminal court not consider requiring medication as a means of restoring or maintaining a defendant’s competency to stand trial until after the government had first sought an order compelling medication under grounds normally considered by the civil courts.

If the probate court does enter an order for the administration of medication under § 574.106, the order will remain valid for a defendant who is then returned to a correctional facility to await trial, and will be in effect for up to 180 days after the date the defendant is returned to the correctional facility (or earlier in case of an acquittal, conviction, entry of a guilty plea, or upon a dismissal of the charges). See id. § 574.110.

Should the probate court, however, determine that the defendant does not meet the criteria for court-ordered medication under Health & Safety Code § 574.106, the state can thereafter seek an order for the administration of medication under Article 46B.086. Per Article 46B.086(b), the motion to compel medication must be filed within 15 days after the date the probate judge issues an order declining to order medication under § 574.106. The criminal court must then conduct the Article 46B.086 hearing no later than 10 days following the date the motion to compel is filed (and the hearing can be conducted via a video hearing process).

Subsequent amendments to Article 46B expanded its reach. In 2007, as part of emphasizing the possible use of outpatient competency restoration programs, the legislature further modified Article 46B.086 to apply to persons ordered to outpatient services for competency restoration per Article 46B.072. In turn, 2009 legislation added subsection (a)(2) to allow for consideration of court-ordered medication in the event a defendant has remained in jail for more than 72 hours following a finding of incompetence to stand trial, but before transfer to a facility or program for 18 For a detailed discussion of these convoluted provisions and the history of the forced medication statutes, see Brian D. Shannon, Prescribing a Balance: The Texas Legislative Responses to Sell v. United States, 41 ST. MARY’S L. J. 309 (2009); available at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=1556406.

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restoration services. The two-step/two-court process is still applicable, however. 19 Thereafter, in 2013 the legislature added a forced medication process to Chapter 592 of the Health & Safety Code for persons with intellectual or developmental disabilities who have medication needs. Article 46B.086 was amended to require a comparable two-step/two-court hearing process in those situations.

If the matter returns to the criminal court for an Article 46B.086 hearing, the due process protections set forth in the statute require that any order under the statute be limited to the administration of those psychoactive medications that have been prescribed by the treatment team and are a part of the defendant’s individualized continuity of care plan. Moreover, before the court may issue an order for administration of the medications, the following procedural protections must be afforded: • notice and a hearing; • supporting testimony by two physicians; and • findings supported by clear and convincing evidence that: - the prescribed medication is medically appropriate; - the prescribed medication is in the best medical interest of the defendant; - the prescribed medication does not present side effects that cause harm to the defendant that is greater than the medical benefits; - the state has a clear and compelling interest in the defendant attaining and maintaining competency to stand trial; - there is not any less invasive means of attaining and maintaining the defendant’s competency; and - the prescribed medication will not unduly prejudice the defendant’s rights or use of defensive theories at trial These processes quite properly represent a heavy burden for the state. On the other hand, the fact that the statutory scheme requires the possibility of two hearings before two different courts can serve to discourage prosecutors from pursuing such orders at all. This is unfortunate if medication is appropriate and can restore the defendant’s competency by treating the person’s mental illness. The statutory approach represents an attempt both to comport with constitutional requirements and to help assure that the defendant’s competency can be attained and maintained.

AUTHORIZATION FOR JAIL-BASED COMPETENCY RESTORATION. The legislature first added Article 46B.090 in 2013 to authorize up to two pilot sites for jail-based competency restoration programs. Leading up to the 2017 legislative session, however, the state had never selected any pilot sites under the legislation.

Accordingly, in 2017 as part of S.B. 1326, the legislature revisited this section to refine some of the previous staffing ratios. More significantly, the 2017 legislation also added Article 46B.091 to authorize jail-based competency restoration programs developed at the local level by one or more counties. This legislation was intended to help address the critical shortage of inpatient bed space at state forensic hospitals.

19

For an extensive discussion of the 2009 legislation, see id.

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Additionally, the legislature in 2017 enacted S.B. 292 to create mental health matching grant funding for justice-involved individuals. Subsequently, communities including Lubbock, Fort Worth, Dallas, and Corpus Christi have developed jail-based competency restoration programs. As set forth below in the texts of Articles 46B.090 and 46B.091, the provisions include many very specific details about the programs and responsibilities for these programs.

Art. 46B.090. Jail-Based Restoration of Competency Pilot Program. (a) In this article, “department” means the Department of State Health Services. (a-1) If the legislature appropriates to the department the funding necessary for the department to operate a jail-based restoration of competency pilot program as described by this article, the department shall develop and implement the pilot program in one or two counties in this state that choose to participate in the pilot program. In developing the pilot program, the department shall coordinate and allow for input from each participating county. (b) The department shall contract with a provider of jail-based competency restoration services to provide services under the pilot program if the department develops a pilot program under this article. (c) Not later than November 1, 2013, the commissioner of the department shall adopt rules as necessary to implement the pilot program. In adopting rules under this article, the commissioner shall specify the types of information the department must collect during the operation of the pilot program for use in evaluating the outcome of the pilot program. (d) Repealed by Acts 2015, 84th Leg., R.S., Ch. 946 , Sec. 1.15(d), eff. September 1, 2015. (e) Repealed by Acts 2015, 84th Leg., R.S., Ch. 946 , Sec. 1.15(d), eff. September 1, 2015. (f) To contract with the department under Subsection (b), a provider of jailbased competency restoration services must demonstrate to the department that: (1) the provider: (A) has previously provided jail-based competency restoration services for one or more years; or (B) is a local mental health authority that has previously provided competency restoration services; (2) the provider’s jail-based competency restoration program: (A) uses a multidisciplinary treatment team to provide clinical treatment that is: (i) directed toward the specific objective of restoring the defendant’s competency to stand trial; and (ii) similar to the clinical treatment provided as part of a competency restoration program at an inpatient mental health facility;

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(B) employs or contracts for the services of at least one psychiatrist; and (C) provides weekly treatment hours commensurate to the treatment hours provided as part of a competency restoration program at an inpatient mental health facility; (3) the provider is certified by a nationwide nonprofit organization that accredits health care organizations and programs, such as the Joint Commission on Health Care Staffing Services, or the provider is a local mental health authority in good standing with the department; and (4) the provider has a demonstrated history of successful jail-based competency restoration outcomes or, if the provider is a local mental health authority, a demonstrated history of successful competency restoration outcomes. (g) A contract under Subsection (b) must require the designated provider to collect and submit to the department the information specified by rules adopted under Subsection (c). (h) The designated provider shall enter into a contract with the participating county or counties. The contract must require the participating county or counties to: (1) ensure the safety of defendants who participate in the jail-based restoration of competency pilot program; (2) designate a separate space in the jail for the provider to conduct the pilot program; (3) provide the same basic care to the participants as is provided to other inmates of a jail; and (4) supply clinically appropriate psychoactive medications to the mental health service provider for purposes of administering court-ordered medication to the participants in accordance with Article 46B.086 of this code and Section 574.106, Health and Safety Code. (i) The psychiatrist for the provider shall conduct at least two full psychiatric evaluations of the defendant during the period the defendant receives competency restoration services in the jail. The psychiatrist must conduct one evaluation not later than the 21st day and one evaluation not later than the 55th day after the date the defendant begins to participate in the pilot program.

The psychiatrist shall submit to the court a report concerning each evaluation required under this subsection. (j) If at any time during a defendant’s participation in the jail-based restoration of competency pilot program the psychiatrist for the provider determines that the defendant has attained competency to stand trial: (1) the psychiatrist for the provider shall promptly issue and send to the court a report demonstrating that fact; and

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(2) the court shall consider that report as the report of an expert stating an opinion that the defendant has been restored to competency for purposes of Article 46B.0755(a) or (b). (k) If at any time during a defendant's participation in the jail-based restoration of competency pilot program the psychiatrist for the provider determines that the defendant’s competency to stand trial is unlikely to be restored in the foreseeable future: (1) the psychiatrist for the provider shall promptly issue and send to the court a report demonstrating that fact; and (2) the court shall: (A) proceed under Subchapter E or F and order the transfer of the defendant, without unnecessary delay, to the first available facility that is appropriate for that defendant, as provided under Subchapter E or F, as applicable; or (B) release the defendant on bail as permitted under Chapter 17. (l) If the psychiatrist for the provider determines that a defendant ordered to participate in the pilot program has not been restored to competency by the end of the 60th day after the date the defendant began to receive services in the pilot program: (1) for a defendant charged with a felony, the defendant shall be transferred, without unnecessary delay and for the remainder of the period prescribed by Article 46B.073(b), to the first available facility that is appropriate for that defendant as provided by Article 46B.073(c) or (d); and (2) for a defendant charged with a misdemeanor, the court may: (A) order a single extension under Article 46B.080 and the transfer of the defendant without unnecessary delay to the appropriate mental health facility or residential care facility as provided by Article 46B.073(d) for the remainder of the period under the extension; (B) proceed under Subchapter E or F; (C) release the defendant on bail as permitted under Chapter 17; or (D) dismiss the charges in accordance with Article 46B.010. (m) Unless otherwise provided by this article, the provisions of this chapter, including the maximum periods prescribed by Article 46B.0095, apply to a defendant receiving competency restoration services under the pilot program in the same manner as those provisions apply to any other defendant who is subject to proceedings under this chapter. (n) If the department develops and implements a jail-based restoration of competency pilot program under this article, not later than December 1, 2018, the commissioner of the department shall submit a report concerning the pilot program to the presiding officers of the standing committees of the senate and house of representatives having primary jurisdiction over health and human services issues and over criminal justice issues. The report must include the

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information collected by the department during the pilot program and the commissioner's evaluation of the outcome of the program as of the date the report is submitted.

Art. 46B.091. Jail-Based Competency Restoration Program Implemented by County. (a) In this article: (1) “Commission” means the Health and Human Services Commission.

(2) “Executive commissioner” means the executive commissioner of the Health and Human Services Commission. (b) A county or counties jointly may develop and implement a jail-based competency restoration program. (c) A county that implements a program under this article shall contract with a provider of jail-based competency restoration services that is a local mental health authority or local behavioral health authority that is in good standing with the commission, which may include an authority that is in good standing with the commission and subcontracts with a provider of jail-based competency restoration services. (d) A jail-based competency restoration program must: (1) provide jail-based competency restoration services through the use of a multidisciplinary treatment team that are: (A) directed toward the specific objective of restoring the defendant's competency to stand trial; and (B) similar to other competency restoration programs; (2) employ or contract for the services of at least one psychiatrist; (3) provide jail-based competency restoration services through licensed or qualified mental health professionals; (4) provide weekly competency restoration hours commensurate to the hours provided as part of a competency restoration program at an inpatient mental health facility; (5) operate in the jail in a designated space that is separate from the space used for the general population of the jail; (6) ensure coordination of general health care; (7) provide mental health treatment and substance use disorder treatment to defendants, as necessary, for competency restoration; and (8) supply clinically appropriate psychoactive medications for purposes of administering court-ordered medication to defendants as applicable and in accordance with Article 46B.086 of this code or Section 574.106, Health and Safety Code. (e) The executive commissioner shall adopt rules as necessary for a county to develop and implement a program under this article. The commission shall, as part of the rulemaking process, establish contract monitoring and oversight requirements for a local mental health authority or local behavioral health

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authority that contracts with a county to provide jail-based competency restoration services under this article. The contract monitoring and oversight requirements must be consistent with local mental health authority or local behavioral health authority performance contract monitoring and oversight requirements, as applicable. (f) The commission may inspect on behalf of the state any aspect of a program implemented under this article. (g) A psychiatrist or psychologist for the provider shall conduct at least two full psychiatric or psychological evaluations of the defendant during the period the defendant receives competency restoration services in the jail. The psychiatrist or psychologist must conduct one evaluation not later than the 21st day and one evaluation not later than the 55th day after the date the defendant is committed to the program. The psychiatrist or psychologist shall submit to the court a report concerning each evaluation required under this subsection. (h) If at any time during a defendant's commitment to a program implemented under this article the psychiatrist or psychologist for the provider determines that the defendant has attained competency to stand trial: (1) the psychiatrist or psychologist for the provider shall promptly issue and send to the court a report demonstrating that fact; and (2) the court shall consider that report as the report of an expert stating an opinion that the defendant has been restored to competency for purposes of Article 46B.0755(a) or (b). (i) If at any time during a defendant's commitment to a program implemented under this article the psychiatrist or psychologist for the provider determines that the defendant's competency to stand trial is unlikely to be restored in the foreseeable future: (1) the psychiatrist or psychologist for the provider shall promptly issue and send to the court a report demonstrating that fact; and (2) the court shall: (A) proceed under Subchapter E or F and order the transfer of the defendant, without unnecessary delay, to the first available facility that is appropriate for that defendant, as provided under Subchapter E or F, as applicable; or (B) release the defendant on bail as permitted under Chapter 17. (j) If the psychiatrist or psychologist for the provider determines that a defendant committed to a program implemented under this article has not been restored to competency by the end of the 60th day after the date the defendant began to receive services in the program: (1) for a defendant charged with a felony, the defendant shall be transferred, without unnecessary delay and for the remainder of the period prescribed by Article 46B.073(b), to the first available facility that is appropriate for that defendant as provided by Article 46B.073(c) or (d); and

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(2) for a defendant charged with a misdemeanor, the court may: (A) order a single extension under Article 46B.080 and, notwithstanding Articles 46B.073(e) and (f), the transfer of the defendant without unnecessary delay to the appropriate mental health facility or residential care facility as provided by Article 46B.073(d) for the remainder of the period under the extension; (B) proceed under Subchapter E or F; (C) release the defendant on bail as permitted under Chapter 17; or (D) dismiss the charges in accordance with Article 46B.010. (k) Unless otherwise provided by this article, the provisions of this chapter, including the maximum periods prescribed by Article 46B.0095, apply to a defendant receiving competency restoration services, including competency restoration education services, under a program implemented under this article in the same manner as those provisions apply to any other defendant who is subject to proceedings under this chapter. (l) This article does not affect the responsibility of a county to ensure the safety of a defendant who is committed to the program and to provide the same adequate care to the defendant as is provided to other inmates of the jail in which the defendant is located.

DURATION OF JAIL-BASED COMPETENCY RESTORATION. One unfortunate aspect of Article 46B.091 relates to the time frame for jail-based competency restoration. Under Article 46B.091(j), above, the maximum period for providing competency restoration services in the jail-based program is 60 days. This maximum is the case even though Article 46B.073(b) authorizes an initial commitment period of 120 days for felonies (along with a possible 60 day extension), and the possibility of a 60-day extension at the end of the 60-day commitment period for misdemeanor charges. The statute contemplates that if the defendant has not been restored by the end of the 60-day period of jail-based services, he or she will be immediately transferred “without unnecessary delay” to an inpatient facility for the remaining 60 days of the 120-day initial commitment period specified in Article 46B.073(b). A comparable provision in subsection 46B.091(j)(2) contemplates a similar immediate transfer in the case of an unrestored defendant who is facing misdemeanor charges to allow the 60-day extension to occur in an inpatient facility.

The problem is, however, that given long waiting lists and backlogs at state inpatient facilities, immediate transfers simply do not happen. In such a case, the defendant might languish for a lengthy period of time following the initial 60 days of restoration services before the remaining 60 days of services might resume at the inpatient facility. Obviously, the individual’s “gains may be lost” with such delays. See Floyd L. Jennings, supra at http://www.voiceforthedefenseonline.com/story/statutory-changesregarding-mentally-ill-defendants. It is to be hoped that defendants will be restored in the initial 60-day period or, at least, be willing to continue to take prescribed medications prior to the transfer. Finally, although the statute is not altogether clear, in this author’s view the 120-day commitment period clock (in the case of felonies) must stop at the end of the 60-day period for jail-based services, and then

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resume when the defendant actually reaches the inpatient facility. Otherwise, the court’s order of an initial 120-day competency restoration commitment could end up being negated by a lengthy wait for services following the initial 60 days in the jailbased program. (Note that there are parallel provisions in Article 46B.090(l). The same concerns apply.)

ADDITIONAL PERIODS OF CIVIL COMMITMENT WHEN CHARGES REMAIN PENDING. As noted above, per Article 46B.084(e), if a person’s competency has not been attained or restored after the commitment process required

by Subchapter D of Chapter 46B (the initial period of either 60 days or 120 days, and one possible 60-day extension), Subchapter E must be followed if the underlying criminal charges remain pending. Subchapter E represents the replacement for old section 6 of former Art. 46.02, and it begins with Article 46B.101. Amendments enacted in 2011 also require the court to apply Subchapter E in the event that charges remain pending and a determination has been made per Article 46B.071 (based on the examiner’s report) that the defendant is both incompetent and unlikely to be restored to competency in the foreseeable future.

Art. 46B.101. Applicability. This subchapter applies to a defendant against whom a court is required to proceed under Article 46B.084(e) or according to the court’s appropriate determination under Article 46B.071.

CIVIL COMMITMENT HEARING – MENTAL ILLNESS. If a defendant remains incompetent after the initial 60-day or 120-day restoration period and ensuing 60-day extension, or if there was a determination that the defendant’s competency is not likely to be restored in the foreseeable future per Article 46B.071 and the criminal charges remain pending, Article 46B.102 requires the criminal court to conduct a civil commitment hearing. That is, the criminal court will preside over a process that is more typically conducted by a county court with probate jurisdiction.

Art. 46B.102. Civil Commitment Hearing: Mental Illness. (a) If it appears to the court that the defendant may be a person with mental illness, the court shall hold a hearing to determine whether the defendant should be court-ordered to mental health services under Subtitle C, Title 7, Health and Safety Code. (b) Proceedings for commitment of the defendant to court-ordered mental health services are governed by Subtitle C, Title 7, Health and Safety Code, to the extent that Subtitle C applies and does not conflict with this chapter, except that the criminal court shall conduct the proceedings whether or not the criminal court is also the county court. (c) If the court enters an order committing the defendant to a mental health facility, the defendant shall be: (1) treated in conformity with Subtitle C, Title 7, Health and Safety Code, except as otherwise provided by this chapter; and (2) released in conformity with Article 46B.107.

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(d) In proceedings conducted under this subchapter for a defendant described

by Subsection (a): (1) an application for court-ordered temporary or extended mental health services may not be required; (2) the provisions of Subtitle C, Title 7, Health and Safety Code, relating to notice of hearing do not apply; and (3) appeals from the criminal court proceedings are to the court of appeals as in the proceedings for court-ordered inpatient mental health services under Subtitle C, Title 7, Health and Safety Code.

Thus, Article 46B.102 directs the judge of the court presiding over the criminal case to make determinations concerning whether the incompetent defendant is experiencing symptoms of a mental illness and requires commitment for treatment for the mental illness at a mental health facility or outpatient treatment program.

Specifically, Article 46B.102 requires the “criminal” court to make determinations regarding the defendant’s need for court-ordered mental health services in accordance with provisions of the Texas Health & Safety Code. (As a side note, Subtitle C, Title 7, Health & Safety Code, is sometimes referred to as the Texas Mental Health Code.) Accordingly, the judge presiding over the “criminal” court will make the decisions that a county judge or other court with probate jurisdiction would normally make in the civil commitment process. (Of course, it is possible that for certain offenses the county court will also be the court that has been presiding over the criminal matters.)

Although Article 46B.102 requires the criminal court to proceed generally in accordance with the provisions of the Texas Health & Safety Code, there are a few notable differences. For example, unlike the ordinary civil commitment proceeding, Subsection (d)(1) provides that there is generally no need for a formal application for court-ordered mental health services to be on file. Given that the criminal court already has jurisdiction over the matter, the application would tend to be superfluous. In addition, Subsection (d)(2) eliminates the Health & Safety Code’s notice of hearing provisions. Of course, the defendant will have received ample notice through the ongoing criminal process.

Given that the usual defendant with mental illness who faces a Subchapter E “extended commitment” hearing will typically have been hospitalized for either 120 or 180 days (assuming that a one-time 60-day extension has been granted), the criminal court will typically need to apply the extended, 12-month inpatient commitment provisions set forth in § 574.035, Texas Health & Safety Code, rather than the 45-day commitment rules that are delineated in § 574.034. Indeed, § 574.035(a)(4), Texas Health & Safety Code, provides that the 12-month inpatient commitment provisions apply if “the proposed patient has received court-ordered inpatient mental health services … under Chapter 46B, Code of Criminal Procedure, for at least 60 consecutive days during the preceding 12 months.” Alternatively, the court can consider extended outpatient commitment if certain criteria are met, including that the defendant has received court-ordered inpatient mental health

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services under Chapter 46B for at least 60 days during the preceding 12 months or court-ordered outpatient services under Chapter 46B during the preceding 60 days.

See id. § 574.0355. (Legislation enacted in 2019 separated the inpatient procedures and standards from the outpatient procedures and standards. See id. §§ 574.035 and 574.0355.) A court may not order outpatient mental health services, however, if the pending criminal charges involve an act, attempt, or threat of serious bodily injury to another person. Id. § 564.0355(d). In addition, one of the requirements of extended commitments is that live medical testimony is required, and the court may not make its decision solely on the basis of the medical certificates. See id. § 574.031(d-2).

If the court is proceeding under Subchapter E because of a finding under Article 46B.071 that the defendant is both incompetent and not likely to be restored in the foreseeable future, then there will not be any initial commitment for competency restoration available under Subchapter D of Article 46B. Instead, the court must turn directly either to Subchapter E (if charges remain pending) or Subchapter F (if the charges are dropped). Accordingly, in such a case there typically will not have been the requisite inpatient hospitalization under Chapter 46B for 60 consecutive days in the preceding 12 months to be able to pursue an extended inpatient commitment under § 574.035. Similarly, it may be unlikely that the defendant will have received court-ordered inpatient mental health services for at least 60 days during the preceding 12 months or court-ordered outpatient services during the preceding 60 days, either of which is a prerequisite for considering an extended outpatient commitment under § 574.0355. Accordingly, the court must instead proceed with the process set forth in § 574.034 for an order for temporary inpatient mental health services (not to exceed 45 days, but the period can be up to 90 days if the judge finds the longer period to be necessary). Alternatively, in appropriate cases the court may consider ordering temporary outpatient services for the same time periods under § 574.0345 provided that the charges pending against the defendant do not involve an act, attempt, or threat of serious bodily injury to another person.

It is also theoretically possible – albeit very unusual – for the mental health treatment provider to return the defendant back to the court as not likely to attain competency within the foreseeable future before the defendant has been hospitalized for 60 days. Then, the Texas Health & Safety Code would also require the court to follow the 45-day (or 90-day) “temporary” commitment provisions. It will likely be a rare case, however, in which a treatment facility would halt efforts at trying to restore the defendant’s competency during the initial commitment period prior to the passage of 60 days.

We are also aware of many unfortunate situations in which defendants have been returned to the committing court, but have then languished in jail for so many months that § 574.035(a)(4)’s trigger (of at least 60 consecutive days of court-ordered hospitalization in the preceding 12 months pursuant to Chapter 46B) has lapsed. In such a case, the criminal court must then conduct civil commitment proceedings under either § 574.034 (inpatient) or § 574.0345 (outpatient), which permit courtordered “temporary” mental health services (a 45-day or 90-day commitment).

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The Health & Safety Code requires a jury for an extended 12-month commitment hearing unless the defendant or the defendant’s attorney waives that right. See § 574.032(b), Texas Health & Safety Code. This jury requirement is in contrast to the provisions for the 45-day (or 90-day) commitment hearing in which no jury is required unless affirmatively sought by the defendant. Id. § 574.032(a). With regard to the ensuing hearing, the provisions governing a 12-month extended commitment proceeding require live expert testimony. Id. § 574.031(d-2). This requirement for live testimony is in contrast to the common practice in 45-day (or 90-day) commitment hearings in which live testimony is often waived and there are stipulations to the findings set forth in the experts’ certificates of medical examination. Id. § 574.031(d1). [Then, at the 12-month commitment hearing for inpatient services, if the jury or court finds that the defendant has a mental illness and meets one or more of the three commitment criteria – is likely to cause serious harm to (1) self or (2) others, or (3) is: (i) suffering severe and abnormal mental, emotional, or physical distress; (ii) experiencing substantial mental or physical deterioration of the proposed patient’s ability to function independently, which is exhibited by the proposed patient's inability, except for reasons of indigence, to provide for the proposed patient's basic needs, including food, clothing, health, or safety; and (iii) unable to make a rational and informed decision as to whether or not to submit to treatment – then the court will typically commit the defendant to a mental health treatment facility for inpatient mental health care for a period not to exceed 12 months. See id. § 574.035(a). In these civil commitment proceedings, the state has the burden of proof, and the evidentiary standard is proof by “clear and convincing evidence.”]

Note that the criteria for an extended commitment for outpatient services differ from the criteria for an inpatient order. The criteria for an extended outpatient commitment do not include the prongs relating to the potential for serious harm to self or others; instead, the extended outpatient criteria put the focus on whether the individual, if not treated, will experience a deterioration of the ability to function independently and cannot live safely in the community without court-ordered outpatient mental health services. The full list of criteria is spelled out in § 574.0355, Texas Health & Safety Code. Moreover, an outpatient commitment is not authorized if the charges pending involve an act, attempt, or threat of serious bodily injury.

CIVIL COMMITMENT HEARING – INTELLECTUAL DISABILITY. Article 46B.103 is a provision that largely parallels Article 46B.102 and governs an ensuing civil commitment hearing for a persons with an intellectual disability when charges remain pending and the person remains incompetent to proceed or was determined to be unlikely to be restored in the foreseeable future. The legislature amended subsection (d) in 2007 specifically to limit the scope of the provision to pertain solely to commitments for intellectual disability services. It should also be noted that unlike the burden of proof for civil commitments for mental illness (“clear and convincing evidence”), the burden of proof in commitment proceedings for persons with intellectual disabilities is higher (“beyond a reasonable doubt”). See § 593.050(e), Texas Health & Safety Code. Consider also Powell v. State, 487 S.W.3d 768, 7 (Tex.

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App. – Dallas 2016, no pet.) (holding that the appeals provision set forth in Article 46B.103(d)(3) does not extend to a trial court’s order denying a request for a transfer from a residential care facility to a group home).

Art. 46B.103. Commitment Hearing: Intellectual Disability. (a) If it appears to the court that the defendant may be a person with an intellectual disability, the court shall hold a hearing to determine whether the defendant is a person with an intellectual disability. (b) Proceedings for commitment of the defendant to a residential care facility are governed by Subtitle D, Title 7, Health and Safety Code, to the extent that Subtitle D applies and does not conflict with this chapter, except that the criminal court shall conduct the proceedings whether or not the criminal court is also a county court. (c) If the court enters an order committing the defendant to a residential care facility, the defendant shall be: (1) treated and released in accordance with Subtitle D, Title 7, Health and Safety Code, except as otherwise provided by this chapter; and (2) released in conformity with Article 46B.107. (d) In the proceedings conducted under this subchapter for a defendant described by subsection (a): (1) an application to have the defendant declared a person with an intellectual disability may not be required; (2) the provisions of Subtitle D, Title 7, Health and Safety Code, relating to notice of hearing do not apply; and (3) appeals from the criminal court proceedings are to the court of appeals as in the proceedings for commitment to a residential care facility under Subtitle D, Title 7, Health and Safety Code.

PLACEMENT OF THE DEFENDANT FOR A CIVIL COMMITMENT – VIOLENT OFFENSES. Assuming that the defendant has been found by the jury or court to meet the Texas Mental Health Code’s inpatient commitment criteria, the next several statutes in Subchapter E describe the appropriate placement for the defendant. Article 46B.104 governs situations in which the defendant has been charged with any of an array of violent offenses. Legislation enacted in 2019 provides discretion to the Texas Health and Human Services Commission to make individualized determinations as to the appropriate facility placement, including the discretion to designate a maximum security unit, if deemed appropriate or necessary.

Art. 46B.104. Civil Commitment Placement: Finding of Violence. A defendant committed to a facility as a result of proceedings initiated under this chapter shall be committed to the facility designated by the commission if: (1) the defendant is charged with an offense listed in Article 17.032(a); or (2) the indictment charging the offense alleges an affirmative finding under Article 42A.054(c) or (d).

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STEP-DOWNS FROM THE MAXIMUM SECURITY UNIT. For a defendant who is placed in a maximum security unit per Article 46B.104, the next statute, Article 46B.105, provides for the prospect of a “step-down” to a less secure unit or other state facility, or to a local authority. As under prior law, this provision also requires the Health and Human Services Commission to appoint and maintain a fivemember review board to make determinations about whether a defendant committed to a maximum security unit is manifestly dangerous and should remain in the maximum security facility.

Art. 46B.105. Transfer Following Civil Commitment Placement. (a) Unless a defendant committed to a maximum security unit by the commission is determined to be manifestly dangerous by a review board established under Subsection (b), not later than the 60th day after the date the defendant arrives at the maximum security unit, the defendant shall be transferred to: (1) a unit of an inpatient mental health facility other than a maximum security unit; (2) a residential care facility; or (3) a program designated by a local mental health authority or a local intellectual and developmental disability authority. (b) The executive commissioner shall appoint a review board of five members, including one psychiatrist licensed to practice medicine in this state and two persons who work directly with persons with mental illness or an intellectual disability, to determine whether the defendant is manifestly dangerous and, as a result of the danger the defendant presents, requires continued placement in a maximum security unit. (c) The review board may not make a determination as to the defendant's need for treatment. (d) A finding that the defendant is not manifestly dangerous is not a medical determination that the defendant no longer meets the criteria for involuntary civil commitment under Subtitle C or D, Title 7, Health and Safety Code. (e) If the superintendent of the facility at which the maximum security unit is located disagrees with the determination, the matter shall be referred to the executive commissioner. The executive commissioner shall decide whether the defendant is manifestly dangerous.

This statute requires the review board to be composed of five members, at least one of whom must be a licensed psychiatrist and two who must work directly with persons with mental illness or intellectual disabilities. The review board is not to concern itself with treatment issues, but should decide only whether the persons who come before the board are so dangerous that they should remain in a maximum security unit. Accordingly, the statute specifies that a review board finding that a patient is not manifestly dangerous does not equate to a determination that the patient no longer meets civil commitment criteria. Instead, such a finding permits the agency to transfer the person to a less restrictive setting for further treatment.

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Finally, Article 46B.105 includes an “appeal” provision regarding these determinations. If the superintendent of the mental health facility that houses the maximum security unit disagrees with the review board’s findings, the head of the agency must resolve the disagreement.

PLACEMENT OF THE DEFENDANT FOR CIVIL COMMITMENT: NONVIOLENT OFFENSES. Assuming that the underlying criminal charges are not for any of the violent offenses set forth in the statutes cross-referenced by Article 46B.104, the next statute, Article 46B.106, requires that the commitment be to a facility designated by the Health and Human Services Commission or to an outpatient treatment program. The facility or program cannot refuse the placement on grounds that criminal charges remain pending.

Art. 46B.106. Civil Commitment Placement: No Finding of Violence. (a) A defendant committed to a facility as a result of the proceedings initiated under this chapter, other than a defendant described by Article 46B.104, shall be committed to: (1) a facility designated by the commission; or (2) an outpatient treatment program. (b) A facility or outpatient treatment program may not refuse to accept a placement ordered under this article on the grounds that criminal charges against the defendant are pending.

RELEASE OF THE DEFENDANT AFTER THE CIVIL COMMITMENT. Article 46B.107 sets forth the process to be followed if the treatment facility or outpatient treatment program determines that the defendant no longer meets commitment criteria and should be released.

Art. 46B.107. Release of Defendant after Civil Commitment. (a) The release of a defendant committed under the commission, an outpatient treatment program, or another facility is subject to disapproval by the committing court if the court or the attorney representing the state has notified the head of the facility or outpatient treatment provider, as applicable, to which the defendant has been committed that a criminal charge remains pending against the defendant. (b) If the head of the facility or outpatient treatment provider to which a defendant has been committed under this chapter determines that the defendant should be released from the facility, the head of the facility or outpatient treatment provider shall notify the committing court and the sheriff of the county from which the defendant was committed in writing of the release not later than the 14th day before the date on which the facility or outpatient treatment provider intends to release the defendant.

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(c) The head of the facility or outpatient treatment provider shall provide with the notice a written statement that states an opinion as to whether the defendant to be released has attained competency to stand trial. (d) The court shall, on receiving notice from the head of the facility or outpatient treatment provider of intent to release the defendant under Subsection (b), hold a hearing to determine whether release is appropriate under the applicable criteria in Subtitle C or D, Title 7, Health and Safety Code.

The court may, on motion of the attorney representing the state or on its own motion, hold a hearing to determine whether release is appropriate under the applicable criteria in Subtitle C or D, Title 7, Health and Safety Code, regardless of whether the court receives notice that the head of a facility or outpatient treatment provider provides notice of intent to release the defendant under Subsection (b). The court may conduct the hearing: (1) at the facility; or (2) by means of an electronic broadcast system as provided by Article 46B.013. (e) If the court determines that release is not appropriate, the court shall enter an order directing the head of the facility or outpatient treatment provider to not release the defendant. (f) If an order is entered under Subsection (e), any subsequent proceeding to release the defendant is subject to this article.

As with a typical civil commitment ordered by a civil court with probate jurisdiction, once the defendant becomes a patient at a mental health facility or in an outpatient treatment program pursuant to Subchapter E, then the facility or provider – in general – has the authority to gauge whether the patient may be released earlier than the maximum period set forth in the court’s order. In addition, under the law governing a typical civil commitment, if the patient responds well to treatment and the hospital or other treatment provider determines that the commitment criteria are no longer met, the hospital must release the patient at that time. Article 46B.107 sets forth a few variations, however, for a defendant under a Chapter 46B civil commitment ordered by the criminal court when charges remain pending. First, subsection (a) makes the release from the facility or outpatient treatment program subject to the disapproval of the committing court if criminal charges remain pending. Plus, the facility or outpatient treatment provider must give the court and local sheriff at least two weeks’ notice prior to the date when the facility otherwise intends to release the patient. Art. 46B.107(b). Subsection (c) requires the head of the facility or outpatient treatment provider to include with the notice a written opinion as to whether – in the medical judgment of the treatment team – the defendant has attained competency to be tried. Indeed, if the person is doing well enough medically to no longer meet commitment criteria, there is a very good prospect that the treatment will have resulted in the person’s having attained competency to be tried.

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Subsection (d) authorizes the court, on a motion by the prosecutor or on its own motion, to hold a further hearing under the Health & Safety Code to assess whether release is appropriate under the Health & Safety Code’s commitment criteria or whether further commitment is necessary. Moreover, following 2019 amendments, the court may hold a hearing to determine whether release is appropriate on a motion by the state or its own motion, regardless of whether the facility or provider has provided notice of an intent to release the defendant. The statute also authorizes these hearings to take place at the facility or by interactive video transmission.

Alternatively, the court can proceed under the next several articles to consider a redetermination of the defendant’s competency to be tried.

RE-DETERMINATION OF COMPETENCY. Article 46B.108 authorizes the court at any time during the pending civil commitment under Subchapter E to determine whether the defendant’s competency has been restored. Although this will likely occur most typically at the time the facility is of the view that the defendant is ready for release, the statute is very open-ended about the timing. Moreover, an inquiry into competency restoration may be made at any time during the period of the civil commitment at the request of the treatment provider, the defendant, defense counsel, the prosecutor, or the court. Note that this section is inapplicable to proceedings that follow upon the return of the defendant to court during or at the end of the initial criminal competency restoration commitment. Those procedures are covered by Article 46B.084, which was discussed above. For a case so holding, see Timmons v. State, 510 S.W.3d 713, 720 (Tex. App. – El Paso 2016, no pet.).

Art. 46B.108. Redetermination of Competency. (a) If criminal charges against a defendant found incompetent to stand trial have not been dismissed, the trial court at any time may determine whether the defendant has been restored to competency. (b) An inquiry into restoration of competency under this subchapter may be made at the request of the head of the mental health facility, outpatient treatment provider, or residential care facility to which the defendant has been committed, the defendant, the attorney representing the defendant, or the attorney representing the state, or may be made on the court's own motion.

REQUEST BY THE FACILITY HEAD OR OUTPATIENT TREATMENT PROVIDER. Consistent with the foregoing article, Article 46B.109 authorizes the head of the treatment facility or outpatient treatment provider to request that the court make a determination that the defendant has been restored to competency.

Art. 46B.109. Request by Head of Facility. (a) The head of a facility or outpatient treatment provider to which a defendant has been committed as a result of a finding of incompetency to stand trial may request the court to determine that the defendant has been restored to competency. (b) The head of the facility or outpatient treatment provider shall provide with the request a written statement that in their opinion the defendant is competent to stand trial.

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In this regard, the facility head or outpatient treatment provider must provide a written opinion that the defendant has become competent to stand trial. This is, of course, not a legal conclusion, but the mental health service provider’s opinion based – no doubt – on the medical expertise of the treatment team.

DEFENDANT, DEFENSE COUNSEL, OR PROSECUTOR MAY ASSERT THAT COMPETENCY HAS BEEN RESTORED. Article 46B.110 authorizes the defendant, defense counsel, or the prosecutor to file a motion seeking to have the court determine that the defendant’s competency has been restored. Affidavits may be provided with the motion. A 2005 amendment specifically added defense attorneys as having the authority to make such motions.

Art. 46B.110. Motion by Defendant, Attorney Representing Defendant, or Attorney Representing State. (a) The defendant, the attorney representing the defendant, or the attorney representing the state may move that the court determine that the defendant has been restored to competency. (b) A motion for a determination of competency may be accompanied by affidavits supporting the moving party's assertion that the defendant is competent.

APPOINTMENT OF INDEPENDENT QUALIFIED EXPERTS. Article 46B.111 authorizes the court to appoint qualified experts to examine the defendant upon a request or motion seeking to determine whether the defendant’s competency has been restored during or following the civil commitment period. The provisions of Subchapter B of Chapter 46B, discussed supra, govern the qualifications and requirements pertaining to such experts and their reports.

Art. 46B.111. Appointment of Examiners. On the filing of a request or motion to determine that the defendant has been restored to competency or on the court's decision on its own motion to inquire into restoration of competency, the court may appoint disinterested experts to examine the defendant in accordance with Subchapter B. AGREEMENT THAT THE DEFENDANT HAS ATTAINED COMPETENCY. If the parties and the court all agree that the defendant has attained competency to be tried, the court is required to make such a finding and proceed with any further criminal proceedings.

Art. 46B.112. Determination of Restoration with Agreement. On the filing of a request or motion to determine that the defendant has been restored to competency or on the court's decision on its own motion to inquire into restoration of competency, the court shall find the defendant competent to stand trial and proceed in the same manner as if the defendant had been found restored to competency at a hearing if: (1) both parties agree that the defendant is competent to stand trial; and

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(2) the court concurs.

HEARING TO DETERMINE RESTORATION OR LACK THEREOF. Absent an agreement, Article 46B.113 sets forth the requirements relating to the conducting of a hearing to determine whether the defendant’s competency has been restored.

Art. 46B.113. Determination of Restoration without Agreement. (a) The court shall hold a hearing on a request by the head of a facility or outpatient treatment provider to which a defendant has been committed as a result of a finding of incompetency to stand trial to determine whether the defendant has been restored to competency. (b) The court may hold a hearing on a motion to determine whether the defendant has been restored to competency or on the court's decision on its own motion to inquire into restoration of competency, and shall hold a hearing if a motion and any supporting material establish good reason to believe the defendant may have been restored to competency. (c) If a court holds a hearing under this article, on the request of the counsel for either party or the motion of the court a jury shall make the competency determination. If the competency determination will be made by the court rather than a jury, the court may conduct the hearing: (1) at the facility; or (2) by means of an electronic broadcast system as provided by Article 46B.013. (d) If the head of a facility or outpatient treatment provider to which the defendant was committed as a result of a finding of incompetency to stand trial has provided an opinion that the defendant has regained competency, competency is presumed at a hearing under this subchapter and continuing incompetency must be proved by a preponderance of the evidence. (e) If the head of a facility or outpatient treatment provider has not provided an opinion described by Subsection (d), incompetency is presumed at a hearing under this subchapter and the defendant’s competency must be proved by a preponderance of the evidence.

Subsection (a) mandates that the court hold a hearing on the issue of competency restoration upon a request by the facility head or outpatient treatment provider. By way of contrast, subsection (b) permits the court to hold a hearing on the issue of competency restoration if there has been a motion filed by counsel for a party or on the court’s own motion, and requires the court to hold a hearing if the motion and any supporting material “establish good cause to believe” that the defendant has attained competency to be tried. In turn, subsection (c) requires a jury to be impaneled if requested by either party or desired by the court.

It has long been the law in Texas that when a person is found to be incompetent, is sent for competency restoration, and is not restored, then there has been an

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“unvacated adjudication of incompetency” and the burden then shifts to the State to “prove the accused’s competency to stand trial beyond a reasonable doubt.” Manning v. State, 730 S.W. 744, 748 (Tex. Crim. App. 1987).

Under Article 46B.113 and in contrast to Manning, however, the legislature has more recently modified Manning, in part, and established specific guidance for Subchapter E commitments regarding the relevant burdens of proof when the facility head or outpatient treatment provider has either (1) opined that the defendant’s competency has been restored, or (2) has not provided an opinion that the defendant has regained competency. Correspondingly, per subsection (d), the defendant’s competency will be presumed at the hearing if the head of the facility or outpatient treatment provider has tendered an opinion that the defendant has regained (or attained) competency. In such a case, incompetency must be proven by a preponderance of the evidence. In contrast, if the facility head or outpatient treatment provider has not provided an opinion that the defendant has regained (or attained) competency, subsection (e) directs that the defendant’s incompetency will be presumed at the hearing, and competency must be established by a preponderance of the evidence. For more discussion of this issue, see Moralez v. State, 450 S.W.3d 553, 559-60 (Tex. App. – Houston [14th Dist.] 2014, pet. ref’d).

So, what is left of Manning? First, Article 46B.113 addresses the burden of proof when the mental health services provider has (1) opined that the defendant’s competency has been restored, or (2) has not provided an opinion as to whether the defendant has regained competency. The statute does not, however, directly address a situation in which the facility head or outpatient treatment provider instead provides an opinion that the defendant’s competency has not been restored.

Presumably, then, per Manning the State would be faced with proving competency beyond a reasonable doubt in such a case, although there are no reported cases on point. In addition, and more broadly, Manning is applicable in other situations such as when a defendant has been adjudicated as incompetent, is committed for competency restoration yet his or her competency is not restored (or who has been found unlikely to be restored in the foreseeable future), is released, but later is charged with a new crime. In such a situation, the defendant would be in a state of unvacated adjudication of incompetency and Manning would control. See Floyd L. Jennings, Procedural Choke Points in 46B Competency Issues, VOICE FOR THE DEFENSE ONLINE (March 12, 2016), available at http://www.voiceforthedefenseonline.com/story/procedural-choke-points-46b-competency-issues.

Finally, per subsection (c), if the hearing is before the court rather than a jury, the hearing may be conducted at the facility or by interactive video.

TRANSPORTATION BACK TO THE COURT. As in other subdivisions of Chapter 46B (and as under prior law), Article 46B.114 places the responsibility for timely transportation of the defendant from the treatment facility to the county of origin on the sheriff of the county in which the committing court is located.

Additionally, the county bears responsibility for the attendant costs. The statute also takes into account that the hearing might be at the facility or by means of interactive video (thereby avoiding the need for transportation).

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Art. 46B.114. Transportation of Defendant to Court. If the hearing is not conducted at the facility to which the defendant has been committed under this chapter or conducted by means of an electronic broadcast system as described by this subchapter, an order setting a hearing to determine whether the defendant has been restored to competency shall direct that, as soon as practicable but not earlier than 72 hours before the date the hearing is scheduled, the defendant be placed in the custody of the sheriff of the county in which the committing court is located or the sheriff's designee for transportation to the court. The sheriff or the sheriff's designee may not take custody of the defendant under this article until 72 hours before the date the hearing is scheduled.

WHAT IF THE HEARING RESULTS IN A DETERMINATION OF COMPETENCY? For purposes of ease of discussion, the next three sections of Subchapter E are taken out of order. Per Article 46B.116, should the hearing described in the foregoing sections result in a determination that the defendant has become competent to stand trial, not surprisingly the underlying criminal proceedings may be resumed.

Art. 46B.116. Disposition on Determination of Competency If the defendant is found competent to stand trial, the proceedings on the criminal charge may proceed.

WHAT IF THE HEARING RESULTS IN A DETERMINATION THAT THE DEFENDANT REMAINS INCOMPETENT? Article 46B.117 addresses the disposition of the defendant should the hearing described in the foregoing sections result in a determination that the defendant remains incompetent to stand trial. If the defendant is still under an order of civil commitment, then the defendant must remain at the treatment facility (if the hearing was at the facility or conducted by interactive video). Otherwise, the sheriff’s office must transport the individual back to the facility or program.

Art. 46B.117. Disposition on Determination of Incompetency If a defendant under order of commitment to a facility or outpatient treatment program is found to not have been restored to competency to stand trial, the court shall remand the defendant pursuant to that order of commitment, and, if applicable, order the defendant placed in the custody of the sheriff or the sheriff's designee for transportation back to the facility.

As a side note, should a prosecutor’s office be unsuccessful in a competency restoration hearing as described in the foregoing sections, it is certainly possible that the same official(s) can consider dismissing the underlying charges. This may be particularly true in a situation in which the time spent by the defendant in the

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competency commitment process is approaching the typical sentence associated with the charged offense, when “timing out” would nonetheless be required.

In addition, should the restoration hearing result in a finding of continuing incompetency to be tried, one additional statute set forth in Subchapter E places some limits on when another attempt to determine competency can be undertaken.

Art. 46B.115. Subsequent Redeterminations of Competency. (a) If the court has made a determination that a defendant has not been restored to competency under this subchapter, a subsequent request or motion for a redetermination of competency filed before the 91st day after the date of that determination must: (1) explain why the person making the request or motion believes another inquiry into restoration is appropriate; and (2) provide support for the belief. (b) The court may hold a hearing on a request or motion under this article only if the court first finds reason to believe the defendant's condition has materially changed since the prior determination that the defendant was not restored to competency. (c) If the competency determination will be made by the court, the court may conduct the hearing at the facility to which the defendant has been committed under this chapter or may conduct the hearing by means of an electronic broadcast system as provided by Article 46B.013.

Article 46B.115 declares that if there has been a determination that the defendant still has not been restored to competency, then any further request or motion to, once more, seek a redetermination of the defendant’s competency that is filed within 90 days of the prior determination must include both an explanation of why another inquiry is appropriate as well as support for that belief. Moreover, the court cannot hold a hearing on a motion filed within this 90-day window unless the court finds a reason to believe that the defendant’s condition has changed materially since the prior hearing. Note that these strictures apply only to the first 90 days following the prior determination. There are no comparable limits for motions or requests made after that period. Comparable to other subsections, this article allows the hearing to be conducted at the facility or by interactive video.

ADDITIONAL CIVIL COMMITMENT WHEN CHARGES HAVE BEEN DISMISSED. As noted above, per Article 46B.084(f), if a person’s competency has not been attained or restored after the initial commitment process required by Subchapter D of Chapter 46B, then Subchapter F is to be followed if the underlying criminal charges have been dismissed. Subchapter F represents the replacement for old section 7 of former Article 46.02 and includes only one statute, Article 46B.151.

The court may also use this section if permitted by Article 46B.004(e), which is discussed above. The provision also applies in situations in which, per Article 46B.071, there has been a finding that the defendant’s competency is not likely to be restored in the foreseeable future, and the charges have been dropped.

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Art. 46B.151. Court Determination Related to Civil Commitment. (a) If a court is required by Article 46B.084(f) or by its appropriate determination under Article 46B.071 to proceed under this subchapter, or if the court is permitted by Article 46B.004(e) to proceed under this subchapter, the court shall determine whether there is evidence to support a finding that the defendant is either a person with mental illness or a person with an intellectual disability. (b) If it appears to the court that there is evidence to support a finding of mental illness or an intellectual disability, the court shall enter an order transferring the defendant to the appropriate court for civil commitment proceedings and stating that all charges pending against the defendant in that court have been dismissed. The court may order the defendant: (1) detained in jail or any other suitable place pending the prompt initiation and prosecution by the attorney for the state or other person designated by the court of appropriate civil proceedings to determine whether the defendant will be committed to a mental health facility or residential care facility; or (2) placed in the care of a responsible person on satisfactory security being given for the defendant’s proper care and protection. (c) Notwithstanding Subsection (b), a defendant placed in a facility of the commission pending civil hearing under this article may be detained in that facility only with the consent of the head of the facility and pursuant to an order of protective custody issued under Subtitle C, Title 7, Health and Safety Code. (d) If the court does not detain or place the defendant under Subsection (b), the court shall release the defendant.

Like Subchapter E, Subchapter F (Article 46B.151) raises the likely prospect of a civil commitment of the defendant. Unlike Subchapter E, however, Article 46B.151 does not require, nor even permit, the criminal court to conduct all of the commitment proceedings. Instead, once Article 46B.151 becomes applicable after dismissal of the charges, the “criminal” court must make an initial determination regarding whether there is evidence to support a finding that the defendant has a mental illness or is a person with an intellectual disability. With respect to defendants with mental illness, subsection (b) directs that if it appears to the court that there is evidence indicating mental illness, then the criminal court must transfer the defendant to the appropriate court for civil commitment proceedings.

Thus, Article 46B.151 generally requires the criminal court to transfer its responsibilities regarding the defendant to the constitutional county court or other court having probate jurisdiction. (This transfer would, of course, not be necessary if the constitutional county court was presiding over the criminal case and also has probate jurisdiction for that county.) The transfer order must also inform the appropriate court that all criminal charges against the defendant have been dismissed. Following a transfer the defendant must undergo civil commitment proceedings pursuant to the appropriate provisions of the Health & Safety Code, just as in any other civil case involving the possible imposition of court-ordered mental

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health services. Also, it should be noted that under § 574.001(e), Tex. Health & Safety Code, an “order transferring a criminal defendant against whom all charges have been dismissed” pursuant to Subchapter F of Article 46B “serves as an application” for court-ordered mental health services under the Health & Safety Code. That is, no separate application is necessary.

Many defendants with mental illness who face a Subchapter F commitment hearing will have been hospitalized pursuant to Subchapter D for competency restoration for either 120 or 180 days (assuming that a one-time 60-day extension has been granted) before charges have been dismissed. In those cases, the county court (or statutory court with probate jurisdiction) will typically need to apply the extended, 12-month inpatient commitment provisions set forth in § 574.035, Texas Health & Safety Code, rather than the 45-day commitment rules that are delineated in § 574.034. Indeed, § 574.035(a)(4), Texas Health & Safety Code, provides that the 12-month inpatient commitment provisions apply if “the proposed patient has received court-ordered inpatient mental health services … under Chapter 46B, Code of Criminal Procedure, for at least 60 consecutive days during the preceding 12 months.” Alternatively, the court can consider extended outpatient commitment if certain criteria are met, including that the defendant has received court-ordered inpatient mental health services under Chapter 46B for at least 60 days during the preceding 12 months or court-ordered outpatient services under Chapter 46B during the preceding 60 days. See id. §§ 574.0355. (Legislation enacted in 2019 separated the inpatient procedures and standards from the outpatient procedures and standards. See id. §§ 574.035 and 574.0355.)

If the county court (or statutory court with probate jurisdiction) is proceeding under Subchapter F because the charges were dismissed following a finding under Article 46B.071 that the defendant is both incompetent and not likely to be restored in the foreseeable future, then there will not have been any commitment for competency restoration under Subchapter D of Article 46B. The same would be true if the charges are dismissed early in the process and prior to any order for competency restoration. See Article 46B.004(e). Accordingly, in either type of case, there typically will not have been the requisite inpatient hospitalization under Chapter 46B for 60 consecutive days in the preceding 12 months to be able to pursue an extended inpatient commitment under § 574.035. Similarly, if the defendant has not received court-ordered inpatient mental health services for at least 60 days during the preceding 12 months or court-ordered outpatient services for the preceding 60 days, then the court may not consider an extended outpatient commitment under § 574.0355. In these situations, the court must instead proceed with the process set forth in § 574.034 for an order for temporary inpatient mental health services (not to exceed 45 days, but the period can be up to 90 days if the judge finds the longer period to be necessary). Alternatively, in appropriate cases the court may consider ordering temporary outpatient services for the same time periods under § 574.0345.

If the criminal court does not believe that evidence supports a finding that the defendant has a mental illness or is a person with an intellectual disability,

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subsection (d) requires the court to release the defendant. This situation should arise only in the rarest of instances. For most cases it would be highly unlikely for the court to determine that there is no evidence to support a finding of mental illness or intellectual disability if there has just been a determination that the defendant is or remains incompetent to stand trial. If such a case arises, however, presumably such a release would not preclude the prosecutor from later reinstating criminal charges against the defendant unless the initial dismissal was with prejudice (precluding the filing of further charges). The policy choices made in dismissing the charges in the first instance, however, should typically militate against a later re-imposition of those same charges.

If the criminal court orders a defendant’s transfer to the appropriate court for civil commitment proceedings, subsection (b) also permits the court to order that the defendant be held in jail or another “suitable place” pending the prompt conducting of the civil commitment proceeding. As a general proposition, the statute’s continued use of the jail alternative is unfortunate.

Given that no criminal charges remain pending in these situations, the court should endeavor to exercise its considerable discretion to order that the person be detained in a more suitable place, such as a mental health facility designated by the local mental health authority. Indeed, once the criminal court has acted under Article 46B.151, the criminal court’s jurisdiction ends. In addition, if the criminal court has dismissed the charges and elected to order the defendant detained in jail per Article 46B.151(b)(1), the probate court then has jurisdiction, and any further use of the jail as a holding facility during civil mental health or intellectual disability evaluations, etc., is significantly limited by Health & Safety Code § 574.027 and Local Gov’t Code § 351.014. (And, although not directly on point, compare Health & Safety Code §§ 573.001(d)-(e) and 573.012(e)). Accordingly, once the criminal court’s jurisdiction ends and the civil probate court’s jurisdiction begins, the use of the jail should be severely restricted to no more than 2-3 business days to effectuate the transfer and transition to the appropriate mental health facility for further evaluation, etc., for purposes of the Health & Safety Code’s commitment provisions.

Subsection (c) adds, however, that before any person is placed in a state mental health treatment facility, the head of the facility must grant permission, and there must be an order of protective custody (OPC) entered under the provisions of the Health & Safety Code. This subsection appears to give authority to the criminal court to issue an OPC in that situation as an adjunct to its power to order detention of the defendant in a suitable place pending the civil commitment proceedings. In addition, although subsection (c) discusses the need for an OPC for a state commission’s facility, presumably a similar requirement should apply to an inpatient treatment facility operated by a local mental health authority. 20 Then, as one additional 20 The relevant provisions regarding the issuance of an OPC are located in the Health & Safety Code beginning at § 574.021. Practitioners have noted that this subsection can sometimes be problematic in that the OPC provisions require a probable cause hearing within 72 hours (under § 574.025, Health & Safety Code), but that the local mental health authority might not yet have accepted the patient. Some legislative fine-tuning is likely necessary in this regard.

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alternative, subsection (b)(2) permits the court to release the defendant into the care of a responsible person (for example, a family member) pending the civil commitment proceedings – with satisfactory security having been given.

Unlike the requirements specified for persons committed under Subchapter E against whom criminal charges remain pending, Subchapter F does not require the treatment facility to provide notice regarding the discharge or release of patients who have been committed under Article 46B.151. Of course, this is not particularly surprising given that Subchapter F commitments arise only when criminal charges have been dismissed. If no criminal charges remain pending, then the criminal court and prosecutor have no need to be apprised of a patient’s discharge. Because the statute is silent with respect to whether the dismissal of the criminal charges is with or without prejudice, however, occasions have arisen in which prosecutors have otherwise learned of a patient’s discharge and re-instituted criminal proceedings.

Certainly, any such about-face by a prosecutor is questionable from a policy perspective, particularly given that the state will have previously made the choice to dismiss the charges. However, if criminal charges are nonetheless reinstated, defense counsel or the court would again be able to consider raising a competency issue as part of the new proceedings.

ANCILLARY PROVISIONS. Subchapter G of Chapter 46B includes three ancillary provisions that relate to both Subchapter E and Subchapter F proceedings.

These are set forth in Article 46B.171. This statute requires the court to order (1) that a transcript of all medical testimony from any of the prior hearings be prepared as quickly as possible, and (2) that copies of all the documents delineated in Article 46B.076 (discussed above) accompany the defendant to the treatment facility or outpatient treatment program for the commitments described in Subchapters E and F. This information should, of course, also include the transcript of the medical testimony described in subpart (1) of the order. All of this information should be of use to the treating physicians and mental health staff at the facility in preparing an individualized treatment plan. In addition, subsection (b) requires the facility or treatment provider to provide copies of its records to the defendant or defense attorney upon request by either the defendant or the defense attorney.

Art. 46B.171. Transcripts and Other Records. (a) The court shall order that: (1) a transcript of all medical testimony received in both the criminal proceedings and the civil commitment proceedings under Subchapter E or F be prepared as soon as possible by the court reporters; and (2) copies of documents listed in Article 46B.076 accompany the defendant to the mental health facility, outpatient treatment program, or residential care facility. (b) On the request of the defendant or the attorney representing the defendant, a mental health facility, outpatient treatment program, or a residential care facility shall provide to the defendant or the attorney copies of the facility’s records regarding the defendant.

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B. JUVENILES The Texas Family Code was extensively revised in 1999 with respect to proceedings concerning children with mental illness or intellectual disabilities, and those revisions affected the terminology and the steps in handling the issue of a juvenile defendant’s competency to stand trial. Further changes have been enacted thereafter.

It should be noted that the state authorities responsible for oversight of services for persons with mental illness and intellectual or developmental disabilities have shifted over the years as agencies have been consolidated and revamped. Many of the relevant statutes referenced (and some still reference) legacy agencies such as the former Texas Department of Mental Health and Mental Retardation, Texas Department of State Health Services, and Texas Department of Aging and Disability Services. These functions are now housed in the Texas Health and Human Services Commission. It has taken a number of legislative sessions, however, to update the language to remove references to the legacy agencies. Some court decisions also continue to reference the legacy agencies.

CROSS REFERENCES TO HEALTH & SAFETY CODE. The Texas Family Code includes a definition section creating a cross-reference to the definitions contained in the Health & Safety Code.

Sec. 55.01. MEANING OF “HAVING A MENTAL ILLNESS.” For purposes of this chapter, a child who is described as having a mental illness means a child with a mental illness as defined by Section 571.003, Health and Safety Code.

Mental illness is defined in Section 571.003 of the Health & Safety Code as an illness, disease, or condition, other than epilepsy, dementia, substance abuse, or intellectual disability, that: (A) substantially impairs a person’s thought, perception of reality, emotional process, or judgment; or (B) grossly impairs behavior as demonstrated by recent disturbed behavior.

As will be explained below, the Family Code also contains numerous references to the Health & Safety Code that incorporate procedural provisions of the Health & Safety Code for the purpose of governing commitment and related procedures involving children who are defendants in juvenile cases.

JURISDICTIONAL MATTERS. Section 55.02 of the Family Code provides broad jurisdiction to the juvenile court to initiate proceedings to order mental health or intellectual disability services for a child, or commitment of a child, should those proceedings become necessary in connection with the processing of a juvenile case.

Sec. 55.02. MENTAL HEALTH AND INTELLECTUAL DISABILITY JURISDICTION. For the purpose of initiating proceedings to order mental health or intellectual disability services for a child or for commitment of a child as provided by this

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chapter, the juvenile court has jurisdiction of proceedings under Subtitle C or D, Title 7, Health and Safety Code.

The cross-referenced provisions in the Health & Safety Code provide for jurisdiction in proceedings for “court ordered mental health services” (commitment) under Subtitle C, which is often referred to as the Texas Mental Health Code, and commitment to an appropriate placement for persons with an intellectual disability under Subtitle D, which is the Persons with an Intellectual Disability Act. Thus, by virtue of Section 55.02 and its cross-reference to the Health & Safety Code, the juvenile court also has civil commitment jurisdiction.

THE STANDARD FOR INCOMPETENCY TO STAND TRIAL FOR JUVENILES. Section 55.31 of the Family Code addresses the matter of determining a juvenile defendant’s incompetency, designating it through use of the phrase “unfitness to proceed.”

Sec. 55.31. UNFITNESS TO PROCEED DETERMINATION; EXAMINATION. (a) A child alleged by petition or found to have engaged in delinquent conduct or conduct indicating a need for supervision who as a result of mental illness or an intellectual disability lacks capacity to understand the proceedings in juvenile court or to assist in the child’s own defense is unfit to proceed and shall not be subjected to discretionary transfer to criminal court, adjudication, disposition, or modification of disposition as long as such incapacity endures.

Section 55.31(a) of the Family Code thus incorporates for Texas juvenile proceedings the incompetency determination standards of Dusky v. United States, 362 U.S. 402 (1960), Drope v. Missouri, 420 U.S. 162 (1975), and their progeny.

In was in Dusky v. United States, 362 U.S. 402 (1960), that the Supreme Court of the United States restated the historical rule that a person accused of a crime who is incompetent cannot be proceeded against while he or she remains incompetent, and stated that the trial court must determine (1) whether the defendant has a sufficient present ability to consult with his or her lawyer with a reasonable degree of rational understanding, and (2) whether he or she has a rational as well as a factual understanding of the proceedings against him or her.

A juvenile defendant, like an adult accused of crime, must be sufficiently competent to understand the proceedings that are being conducted against him or her, and must be able to communicate with and assist legal counsel in his or her defense.

It should be noted, also, that although the matter of a defendant’s competency is ordinarily raised before trial both in criminal and in juvenile cases, the issue can also arise during the progress of the trial of the case, as the Supreme Court of the United States cautioned in Drope v. Missouri, 420 U.S. 162, at 181 (1975): “Even when a defendant is competent at the commencement of his trial, a trial court must always

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be alert to circumstances suggesting a change that would render the accused unable to meet the standards of competence to stand trial.”

RAISING THE INCOMPETENCY ISSUE. Section 55.31(b) of the Family Code provides:

Sec. 55.31(b). On a motion by a party, the juvenile court shall determine whether probable cause exists to believe that a child who is alleged by petition or who is found to have engaged in delinquent conduct or conduct indicating a need for supervision is unfit to proceed as a result of mental illness or an intellectual disability. In making its determination, the court may: (1) consider the motion, supporting documents, professional statements of counsel, and witness testimony; and (2) make its own observation of the child.

Under Section 55.31(b), a party must raise the issue by motion to the court, and the issue is framed in terms of whether probable cause exists to believe that the child is “unfit to proceed as a result of mental illness or an intellectual disability.”

Unfortunately, unlike the more flexible law for adults under Article 46B.004, Tex. Code of Criminal Procedure, “a juvenile court is only required to determine whether probable cause exists to believe a juvenile is unfit to proceed … when a motion is made by a party. … [A]lthough the juvenile court may make this determination on its own motion, it is not statutorily required to do so.” In re H.C., 562 S.W.3d 30, 38 (Tex. App. – Texarkana 2018, no pet.) (finding no error when the juvenile court did not sua sponte order a psychiatric inquiry to assess unfitness to proceed).

DETERMINATION OF THE ISSUE OF INCOMPETENCY. As specified in Section 55.31(b) of the Family Code, in making its probable cause determination on the issue of incompetency, the court has the authority to consider the motion of the party raising the issue, any supporting documents, professional statements of counsel, and witness testimony, and the court’s own observation of the child. Section 55.31(c) of the Code provides:

Sec. 55.31(c). If the court determines that probable cause exists to believe that the child is unfit to proceed, the court shall temporarily stay the juvenile court proceedings and immediately order the child to be examined under Section 51.20. The information obtained from the examination must include expert opinion as to whether the child is unfit to proceed as a result of mental illness or an intellectual disability.

In turn, section 51.20 of the Family Code, to which Section 55.31(c) refers, provides the following:

Sec. 51.20. PHYSICAL OR MENTAL EXAMINATION. (a) At any stage of the proceedings under this title, including when a child is initially detained in a pre-

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adjudication secure detention facility or a post-adjudication secure correctional facility, the juvenile court may, at its discretion or at the request of the child’s parent or guardian, order a child who is referred to the juvenile court or who is alleged by a petition or found to have engaged in delinquent conduct or conduct indicating a need for supervision to be examined by a disinterested expert, including a physician, psychiatrist, or psychologist, qualified by education and clinical training in mental health or mental retardation and experienced in forensic evaluation, to determine whether the child has a mental illness as defined by Section 571.003, Health and Safety Code, is a person with mental retardation as defined by Section 591.003, Health and Safety Code, or suffers from chemical dependency as defined by Section 464.001, Health and Safety Code. If the examination is to include a determination of the child’s fitness to proceed, an expert may be appointed to conduct the examination only if the expert is qualified under Subchapter B, Chapter 46B, Code of Criminal Procedure, to examine a defendant in a criminal case, and the examination and the report resulting from an examination under this subsection must comply with the requirements under Subchapter B, Chapter 46B, Code of Criminal Procedure, for the examination and resulting report of a defendant in a criminal case. (b) If, after conducting an examination of a child ordered under Subsection (a), and reviewing any other relevant information, there is reason to believe that the child has a mental illness or mental retardation or suffers from chemical dependency, the probation department shall refer the child to the local mental health or mental retardation authority or to another appropriate and legally authorized agency or provider for evaluation and services, unless the prosecuting attorney has filed a petition under Section 53.04. (c) If, while a child is under deferred prosecution supervision or court-ordered probation, a qualified professional determines that the child has a mental illness or mental retardation or suffers from chemical dependency and the child is not currently receiving treatment services for the mental illness, mental retardation, or chemical dependency, the probation department shall refer the child to the local mental health or mental retardation authority or to another appropriate and legally authorized agency or provider for evaluation and services. (d) A probation department shall report each referral of a child to a local mental health or mental retardation authority or another agency or provider made under Subsection (b) or (c) to the Texas Juvenile Justice Department in a format specified by the department. (e) At any stage of the proceedings under this title, the juvenile court may order a child who has been referred to the juvenile court or who is alleged by the petition or found to have engaged in delinquent conduct or conduct indicating a need for supervision to be subjected to a physical examination by a licensed physician.

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Since 2004, this provision has required that experts and their reports must meet the qualifications and standards set forth in the adult competency statute, Article 46B, Texas Code of Criminal Procedure, which is discussed at length above. In turn, 2005 amendments added subsections (c), (d), and (e) to allow for referrals to the local mental health or intellectual disability authority for evaluation and treatment services. Legislation enacted in 2013 added references to chemical dependency treatment services. Inexplicably, legislation that included non-substantive clean-up amendments to many other sections of the Family Code and Code of Criminal Procedure in 2015 neglected to update Section 51.20 to change “mental retardation” to “intellectual disability.” Presumably, that correction will occur in a future legislative session, but the old, incorrect terminology is still included in the statute in late 2019.

Section 55.31(d) of the Family Code sets forth the court’s options upon receiving and considering the relevant information pertaining to the child’s fitness or lack of fitness to proceed:

Sec. 55.31(d). After considering all relevant information, including information obtained from an examination under Section 51.20, the court shall: (1) if the court determines that evidence exists to support a finding that the child is unfit to proceed, proceed under Section 55.32; or (2) if the court determines that evidence does not exist to support a finding that the child is unfit to proceed, dissolve the stay and continue the juvenile court proceedings.

HEARING ON FITNESS TO PROCEED. Under the provisions of Section 55.31(d), if the court determines that there is evidence to support a finding that the child is unfit to proceed, then the court must conduct a hearing on that issue, pursuant to the requirements of Section 55.32 of the Family Code, which provides:

Sec. 55.32. HEARING ON ISSUE OF FITNESS TO PROCEED. (a) If the juvenile court determines that evidence exists to support a finding that a child is unfit to proceed as a result of mental illness or an intellectual disability, the court shall set the case for a hearing on that issue. (b) The issue of whether the child is unfit to proceed as a result of mental illness or an intellectual disability shall be determined at a hearing separate from any other hearing. (c) The court shall determine the issue of whether the child is unfit to proceed unless the child or the attorney for the child demands a jury before the 10th day before the date of the hearing. (d) Unfitness to proceed as a result of mental illness or an intellectual disability must be proved by a preponderance of the evidence. (e) If the court or jury determines that the child is fit to proceed, the juvenile court shall continue with proceedings under this title as though no question of fitness to proceed had been raised.

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(f) If the court or jury determines that the child is unfit to proceed as a result of mental illness or an intellectual disability, the court shall: (1) stay the juvenile court proceedings for as long as that incapacity endures; and (2) proceed under Section 55.33. (g) The fact that the child is unfit to proceed as a result of mental illness or an intellectual disability does not preclude any legal objection to the juvenile court proceedings which is susceptible of fair determination prior to the adjudication hearing and without the personal participation of the child.

It is important to note several significant provisions of Section 55.32 regarding the hearing on the issue of fitness to proceed. First, the hearing on fitness to proceed must be held separate and apart from any other hearing, as required by Section 55.32(b).

Second, the child has a right to a jury trial on the issue of his or her unfitness to proceed, although a jury is not automatic and must be demanded by the child or the attorney for the child “before the 10th day before the date of the hearing,” under the provisions of Section 55.32(c). If the child or the child’s attorney opts not to demand a jury trial, then the issue of unfitness to proceed will be determined by the judge.

Third, the standard of proof is “preponderance of the evidence,” and the burden is on the party asserting the alleged unfitness to proceed, as set forth in Section 55.32(d).

As stated in Section 55.32(e) of the Family Code, if the court or jury determines that the child is competent (“fit to proceed”), then the juvenile court must continue with the juvenile proceedings “as though no question of fitness to proceed had been raised.”

This odd and inappropriate language about continuing with the juvenile proceedings “as though no question of fitness had been raised” may simply be an instance of redundancy in drafting on the part of the legislature. That is, if the child is found to be competent then the juvenile proceedings will of course continue, and there is no need for the redundant statement “as though no question of fitness had been raised.” But, the language of the statute notwithstanding, those proceedings cannot be continued as though the issue of competency had not been raised.

If the legislative intent is that this language should be taken literally, and the judge is being commanded to go on with the juvenile trial just as though the judge and all counsel had not been previously alerted in the proceedings to the possibility of incompetence on the part of the defendant, then not only is that command unrealistic and impossible of execution, but it also appears to ignore the clear warning of the United States Supreme Court in Drope v. Missouri, 420 U.S. 162, at 181 (1975): “Even when a defendant is competent at the commencement of his trial, a trial court

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must always be alert to circumstances suggesting a change that would render the accused unable to meet the standards of competency to stand trial.” (emphasis added).

The question of a defendant’s competence to stand trial is a continuous, ongoing matter, and is not something that can be finally determined once and for all at a single given moment. Due process considerations dictate that the issue of a defendant’s incompetence to stand trial, whether the defendant is a juvenile or an adult, must be raised, and if necessary revisited, at any stage of a trial in which there are circumstances suggesting that the defendant is incompetent, even if he or she was initially determined to be competent.

In contrast, if the court or jury determines that the child is incompetent to stand trial (“unfit to proceed as a result of mental illness or an intellectual disability”), then Section 55.32(f) requires the court to do two things: (1) the court must stay the juvenile court proceedings for as long as that incapacity endures; and (2) the court must “proceed under Section 55.33” of the Family Code.

PROCEEDINGS FOLLOWING FINDING OF INCOMPETENCY. The Family Code provides for substantially similar, but procedurally distinct, methods of handling cases involving a juvenile’s incompetency depending on whether the juvenile primarily has a mental illness or has an intellectual disability. These processes will be described below.

Section 55.33 of the Family Code sets forth the basic procedure to be followed by the court after a determination that a child is incompetent to stand trial:

Sec. 55.33. PROCEEDINGS FOLLOWING FINDING OF UNFITNESS TO PROCEED. (a) If the juvenile court or jury determines under Section 55.32 that a child is unfit to proceed with the juvenile court proceedings for delinquent conduct, the court shall: (1) if the unfitness to proceed is a result of mental illness or an intellectual disability: (A) provided that the child meets the commitment criteria under Subtitle C or D, Title 7, Health and Safety Code, order the child placed with the Department of State Health Services or the Department of Aging and Disability Services, as appropriate, for a period of not more than 90 days, which order may not specify a shorter period, for placement in a facility designated by the department; or (B) on application by the child’s parent, guardian, or guardian ad litem, order the child placed in a private psychiatric inpatient facility for a period of not more than 90 days, which order may not specify a shorter period, but only if the placement is agreed to in writing by the administrator of the facility; or (2) if the unfitness to proceed is a result of mental illness and the court determines that the child may be adequately treated in an alternative

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setting, order the child to receive treatment for mental illness on an outpatient basis for a period of not more than 90 days, which order may not specify a shorter period. (b) If the court orders a child placed in a private psychiatric inpatient facility under Subsection (a)(1)(B), the state or a political subdivision of the state may be ordered to pay any costs associated with the child’s placement, subject to an express appropriation of funds for the purpose.

The court has a variety of options under the foregoing provisions of Section 55.33.

Pursuant to Section 55.33(a)(1)(A), if the child’s unfitness to proceed is a result of mental illness or an intellectual disability, then the court’s first option is to order the child placed in an appropriate facility as designated by the Texas Health and Human Services Commission for a period of up to 90 days, provided that the child meets the commitment criteria of Subtitle C (the Texas Mental Health Code) or Subtitle D (the Persons with an Intellectual Disability Act) of the Texas Health & Safety Code.

(Unfortunately, this statute continues to use the names of defunct agencies, the Department of State Health Services and the Department of Aging and Disability Services.)

In the alternative, pursuant to Section 55.33(a)(1)(B), on application by the child’s parent, guardian, or guardian ad litem, the court can order the child placed in a private psychiatric inpatient facility for 90 days, if the placement is agreed to in writing by the administrator of the private facility. If the court orders a child to be placed in a private psychiatric inpatient facility pursuant to Section 55.33(a)(1)(B), then the state or a political subdivision of the state may be ordered to pay any costs associated with the child’s placement (subject to an express appropriation of funds for the purpose), under the authority of Section 55.33(b).

Under Section 55.33(a)(2), if the child’s unfitness to proceed is a result of mental illness and the court determines that the child may be adequately treated in an alternative setting, then the court can order the child to receive treatment for the child’s mental illness on an outpatient basis for a period of 90 days.

TRANSPORTATION TO AND FROM FACILITY. Section 55.34 of the Family Code provides for the appropriate necessary transportation of a child to and from the facility designated in a placement order under Section 55.33(a)(1).

SUBSEQUENT REPORT REGARDING THE CHILD’S COMPETENCY. Section 55.35 of the Family Code provides for the forwarding of relevant information pertaining to the child to the placement facility involved, and for the placement facility to submit a report back to the court, with a copy of the report to be provided to both the prosecuting attorney and the attorney for the child:

Sec. 55.35. INFORMATION REQUIRED TO BE SENT TO FACILITY; REPORT TO COURT. (a) If the juvenile court issues a placement order under Section 55.33(a), the court shall order the probation department to send copies of any

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information in the possession of the department and relevant to the issue of the child’s mental illness or intellectual disability to the public or private facility or outpatient center, as appropriate. (b) Not later than the 75th day after the date the court issues a placement order under Section 55.33(a), the public or private facility or outpatient center, as appropriate, shall submit to the court a report that: (1) describes the treatment of the child provided by the facility or center; and (2) states the opinion of the director of the facility or center as to whether the child is fit or unfit to proceed. (c) The court shall provide a copy of the report submitted under Subsection (b) to the prosecuting attorney and the attorney for the child.

PROCEDURES IN RESPONSE TO THE COMPETENCY REPORT FROM THE PLACEMENT FACILITY. Obviously, the placement facility may report either that the child is competent (fit to proceed) or that the child remains incompetent (not fit to proceed). Incompetency may be the result of mental illness, intellectual disability, or some combination of mental illness and an intellectual disability.

Different procedures are provided by the Family Code with respect to each contingency, as follows: Section 55.36 (report of fitness to proceed, objection, and hearing on objection), Sections 55.37 through 55.39 (mental illness), and Sections 55.40 through 55.42 (intellectual disability).

Sec. 55.36. REPORT THAT CHILD IS FIT TO PROCEED; HEARING ON OBJECTION. (a) If a report submitted under Section 55.35(b) states that the child is fit to proceed, the juvenile court shall find that the child is fit to proceed unless the child’s attorney objects in writing or in open court not later than the second day after the date the attorney receives a copy of the report under Section 55.35(c). (b) On objection by the child’s attorney under Subsection (a), the juvenile court shall promptly hold a hearing to determine whether the child is fit to proceed, except that the hearing may be held after the date that the placement order issued under Section 55.33(a) expires. At the hearing, the court shall determine the issue of the fitness of the child to proceed unless the child or the child’s attorney demands in writing a jury before the 10th day before the date of the hearing. (c) If, after a hearing, the court or jury finds that the child is fit to proceed, the court shall dissolve the stay and continue the juvenile court proceedings as though a question of fitness to proceed had not been raised. (d) If, after a hearing, the court or jury finds that the child is unfit to proceed, the court shall proceed under Section 55.37.

Under the foregoing provisions of Section 55.36 of the Family Code, if the report submitted by the placement facility states that the child is fit to proceed, the court must enter a finding to that effect unless the child’s attorney makes a timely

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objection either in writing or in open court. If there is an objection, then the court must promptly conduct a hearing to determine the issue, and the child has a right to a jury trial on the issue of competency if the child or the child’s attorney makes a written demand for a jury before the 10th day before the date of the hearing.

If the result of the hearing is that the court or jury determines that the child is competent (fit to proceed), then the court must dissolve the stay previously entered and continue with the juvenile proceedings, “as though a question of fitness to proceed had not been raised.”

As indicated above in discussing Section 55.32(e), because of due process considerations, the unfortunate and inappropriate language “as though a question of fitness to proceed had not be raised” cannot be taken literally since, as the Supreme Court of the United States cautioned in Drope v. Missouri, 420 U.S. 162, at 181 (1975), “Even when a defendant is competent at the commencement of his trial, a trial court must always be alert to circumstances suggesting a change that would render the accused unable to meet the standards of competence to stand trial” (emphasis added). Competence to stand trial is an ongoing matter. An issue of competency having been raised, the trial judge and counsel are certainly on notice about that matter, and should be alert to changes in the juvenile’s condition which might render the juvenile incompetent.

If the result of the hearing is that either the court or jury determines that the child is not competent (not fit to proceed), then Section 55.36(d) states that “the court must proceed under the provisions of Section 55.37.” Actually, however, Section 55.37 provides the procedures to be followed only if the child’s unfitness to proceed is a result of mental illness. Section 55.40 provides the procedures to be followed if the child’s unfitness to proceed is a result of an intellectual disability.

Therefore, if the result of the hearing is that the court or jury determines that the child is not fit to proceed, then the court must continue under either Section 55.37 or Section 55.40, as applicable, depending upon whether the child’s lack of competence is the result of mental illness or is the result of an intellectual disability. The statute does not address the procedure to be followed if the incompetence (unfitness to proceed) is the result of a combination of both mental illness and intellectual disability (i.e., a dual diagnosis).

COMMITMENT PROCEEDINGS FOR CHILDREN WITH MENTAL ILLNESS. The Family Code provides for commitment proceedings for juveniles whose incompetency is the result of mental illness to be conducted either by the juvenile court or by an appropriate court to which the case can be referred by the juvenile court.

Sec. 55.37. REPORT THAT CHILD IS UNFIT TO PROCEED AS A RESULT OF MENTAL ILLNESS; INITIATION OF COMMITMENT PROCEEDINGS. If a report submitted under Section 55.35(b) states that a child is unfit to proceed as a result of mental illness and that the child meets the commitment criteria for

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civil commitment under Subtitle C, Title 7, Health and Safety Code, the director of the public or private facility or outpatient center, as appropriate, shall submit to the court two certificates of medical examination for mental illness. On receipt of the certificates, the court shall: (1) initiate proceedings as provided by Section 55.38 in the juvenile court for commitment of the child under Subtitle C, Title 7, Health and Safety Code; or (2) refer the child’s case as provided by Section 55.39 to the appropriate court for the initiation of proceedings in that court for commitment of the child under subtitle C, Title 7, Health and Safety Code.

Under the provisions of Section 55.37, the juvenile court has two options in response to a report that the child remains incompetent (unfit to proceed) and that the child meets the commitment criteria for civil commitment under Subtitle C, Title 7, Health & Safety Code. Both options involve initiating civil commitment proceedings.

Under the first option, the juvenile court can conduct commitment proceedings under Section 55.38 of the Family Code, and these commitment proceedings will remain before the juvenile court. Under the second option, the juvenile court can refer the child’s case to an appropriate court under Section 55.39 of the Family Code, and the court to which the case is referred will initiate commitment proceedings.

Subtitle C, Title 7, of the Health & Safety Code is the Texas Mental Health Code, which includes provisions for “court ordered mental health services” (civil commitment) in Section 574.031 and subsequent sections.

COMMITMENT PROCEEDINGS IN JUVENILE COURT FOR CHILDREN WITH MENTAL ILLNESS. Section 55.38 of the Family Code specifies the procedure for commitment proceedings in the juvenile court with respect to a child whose incompetency is the result of mental illness:

Sec. 55.38. COMMITMENT PROCEEDINGS IN JUVENILE COURT FOR MENTAL ILLNESS. (a) If the juvenile court initiates commitment proceedings under Section 55.37(1), the prosecuting attorney may file with the juvenile court an application for court-ordered mental health services under Section 574.001, Health and Safety Code. The juvenile court shall: (1) set a date for a hearing and provide notice as required by Sections 574.005 and 574.006, Health and Safety Code; and (2) conduct the hearing in accordance with Subchapter C, Chapter 574, Health and Safety Code. (b) After conducting a hearing under Subsection (a)(2), the juvenile court shall: (1) if the criteria under Section 574.034 or 574.0345, Health and Safety Code, are satisfied, order temporary mental health services; or

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(2) if the criteria under Section 574.035 or 574.0355, Health and Safety Code, are satisfied, order extended mental health services.

The effect of Section 55.38 of the Family code is to require the juvenile court to follow the commitment procedures and the commitment criteria set forth in the cited portions of the Health & Safety Code. Space limitations prohibit a detailed treatment of those provisions of the Health & Safety Code here, but they, and the cases interpreting them, will govern in juvenile court commitment proceedings under Section 55.38 of the Family Code. Those provisions provide alternatives of either inpatient or outpatient commitments.

COMMITMENT PROCEEDINGS IN A COURT TO WHICH THE CASE IS REFERRED BY THE JUVENILE COURT FOR CHILDREN WITH MENTAL ILLNESS. Section 55.39 of the Family Code specifies the procedures the juvenile court must follow in referring a child to an appropriate court for commitment proceedings when the child’s incompetency is the result of mental illness:

Sec. 55.39. REFERRAL FOR COMMITMENT PROCEEDINGS FOR MENTAL ILLNESS. (a) If the juvenile court refers the child’s case to an appropriate court for the initiation of commitment proceedings under Section 55.37(2), the juvenile court shall: (1) send all papers relating to the child’s unfitness to proceed, including the verdict and judgment of the juvenile court finding the child unfit to proceed, to the clerk of the court to which the case is referred; (2) send to the office of the appropriate county attorney, or if a county attorney is not available, to the office of the appropriate district attorney, copies of all papers sent to the clerk of the court under Subdivision (1); and (3) if the child is in detention: (A) order the child released from detention to the child’s home or another appropriate place; (B) order the child detained in an appropriate place other than a juvenile detention facility; or (C) if an appropriate place to release or detain the child as described by Paragraph (A) or (B) is not available, order the child to remain in the juvenile detention facility subject to further detention orders of the court. (b) The papers sent to a court under Subsection (a)(1) constitute an application for mental health services under Section 574.001, Health and Safety Code.

Section 55.39(a) of the Family Code directs the juvenile court to forward all papers relating to the child’s incompetency (unfitness to proceed) to the clerk of the court to which the case is being referred by the juvenile court, and to the appropriate county or district attorney, as applicable. Section 55.39(a) also directs the referring juvenile court to enter appropriate detention or release from detention orders.

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Section 55.39(b) designates the sending of the papers as “an application for mental health services under Section 574.001, Health and Safety Code.” This provision is useful and efficient given that Section 574.001 of the Health & Safety Code would otherwise require the filing of “an application for court-ordered mental health services” as the procedural device for initiating commitment proceedings.

COMMITMENT PROCEEDINGS FOR CHILDREN WITH AN INTELLECTUAL DISABILITY. The Family Code provides that commitment proceedings for juveniles whose incompetency is the result of an intellectual disability be conducted either by the juvenile court or by an appropriate court to which the case can be referred by the juvenile court. The provisions are similar to those governing commitment of juveniles whose incompetency is the result of mental illness in that they incorporate by reference the relevant procedures of applicable portions of the Health & Safety Code pertaining to persons with an intellectual disability.

Sec. 55.40. REPORT THAT CHILD IS UNFIT TO PROCEED AS A RESULT OF INTELLECTUAL DISABILITY. If a report submitted under Section 55.35(b) states that a child is unfit to proceed as a result of an intellectual disability and that the child meets the commitment criteria for civil commitment under Subtitle D, Title 7, Health and Safety Code, the director of the residential care facility shall submit to the court an affidavit stating the conclusions reached as a result of the diagnosis. On receipt of the affidavit, the court shall: (1) initiate proceedings as provided by Section 55.41 in the juvenile court for commitment of the child under Subtitle D, Title 7, Health and Safety Code; or (2) refer the child’s case as provided by Section 55.42 to the appropriate court for the initiation of proceedings in that court for commitment of the child under Subtitle D, Title 7, Health and Safety Code.

Under Section 55.40, the juvenile court has two options in response to a report that the child remains incompetent (unfit to proceed) and also meets the commitment criteria for civil commitment under Subtitle D, Title 7, Health & Safety Code. Both options result in commitment proceedings.

Under the first option, the juvenile court can initiate commitment proceedings under Section 55.41 of the Family Code; those proceedings will be held in the juvenile court. Under the second option, the juvenile court can refer the child’s case to an appropriate court under Section 55.42 of the Family Code, and the court to which the case is referred will initiate commitment proceedings.

Subtitle D, Title 7, of the Health & Safety Code is the Persons with an Intellectual Disability Act, and contains provisions for “placement” (civil commitment) of persons with an intellectual disability in Section 593.041 and subsequent sections.

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COMMITMENT PROCEEDINGS IN JUVENILE COURT FOR CHILDREN WITH AN INTELLECTUAL DISABILITY. Section 55.41 of the Family Code specifies the procedure for commitment proceedings in the juvenile court with respect to a child whose incompetency is the result of an intellectual disability:

Sec. 55.41. COMMITMENT PROCEEDINGS IN JUVENILE COURT FOR CHILDREN WITH INTELLECTUAL DISABILITY. (a) If the juvenile court initiates commitment proceedings under Section 55.40(1), the prosecuting attorney may file with the juvenile court an application for placement under Section 593.041, Health and Safety Code. The juvenile court shall: (1) set a date for a hearing and provide notice as required by sections 593.047 and 593.048, Health and Safety Code; and (2) conduct the hearing in accordance with Sections 593.049 – 593.056, Health and Safety Code. (b) After conducting a hearing under Subsection (a)(2), the juvenile court may order commitment of the child to a residential care facility if the commitment criteria under Section 593.052, Health and Safety Code, are satisfied. (c) On receipt of the court’s order, the Department of Aging and Disability Services or the appropriate community center shall admit the child to a residential care facility.

The effect of Section 55.41 of the Family Code is to require the juvenile court to follow the commitment procedures and criteria set forth in the cited portions of the Health & Safety Code. Space limitations prohibit a detailed treatment of those provisions of the Health & Safety Code here, but they, and the cases interpreting them, will govern in juvenile court commitment proceedings under Section 55.41 of the Family Code.

COMMITMENT PROCEEDINGS IN A COURT TO WHICH THE CASE IS REFERRED BY THE JUVENILE COURT FOR CHILDREN WITH AN INTELLECTUAL DISABILITY. Section 55.42 of the Family Code specifies the procedures the juvenile court must follow in referring a child to an appropriate court for commitment proceedings when the child’s incompetency is the result of an intellectual disability.

Sec. 55.42. REFERRAL FOR COMMITMENT PROCEEDINGS FOR CHILDREN WITH INTELLECTUAL DISABILITY. (a) If the juvenile court refers the child’s case to an appropriate court for the initiation of commitment proceedings under Section 55.40(2), the juvenile court shall: (1) send all papers relating to the child’s intellectual disability to the clerk of the court to which the case is referred; (2) send to the office of the appropriate county attorney or, if a county attorney is not available, to the office of the appropriate district attorney, copies of all papers sent to the clerk of the court under Subdivision (1); and

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(3) if the child is in detention: (A) order the child released from detention to the child’s home or another appropriate place; (B) order the child detained in an appropriate place other than a juvenile detention facility; or (C) if an appropriate place to release or detain the child as described by Paragraph (A) or (B) is not available, order the child to remain in the juvenile detention facility subject to further detention orders of the court. (b) The papers sent to a court under Subsection (a)(1) constitute an application for placement under Section 593.041, Health and Safety Code.

Section 55.42 of the Family Code directs the juvenile court to forward all papers “relating to the child’s intellectual disability” to the clerk of the court to which the case is referred. The corresponding provision in Section 55.39(a)(1) pertaining to commitment proceedings for a child with mental illness should be consulted regarding the papers that are to be transmitted. Section 55.39(a)(1) requires the juvenile court to forward all papers “relating to the child’s unfitness to proceed, including the verdict and judgment of the juvenile court finding the child unfit to proceed” to the clerk of the court to which the case is referred. Apparently, through a legislative drafting oversight, comparable language describing “papers,” such as the verdict and judgment of the juvenile court finding the child unfit to proceed, was omitted from Section 55.42(a)(1).

Presumably, however, in either situation – unfitness to proceed because of mental illness or unfitness because of an intellectual disability – the juvenile court will be expected to send all of the relevant papers in the case to the clerk of the appropriate court to which the case is being referred by the juvenile court.

Section 55.42(a)(2) of the Family Code requires the juvenile court also to send copies of all papers sent to the clerk of the court under Subdivision (1) to the office of the appropriate county attorney or district attorney, as applicable.

Section 55.42(b) designates the sending of the papers as “an application for placement [commitment] under Section 593.041, Health and Safety Code,” given that Section 593.041 of the Health & Safety Code would otherwise require the filing of an application for an interdisciplinary team report and recommendation that the proposed client is in need of long-term placement in a residential care facility, as the procedural device for initiating “long-term placement” (commitment) proceedings for a person with an intellectual disability.

The requirement for an interdisciplinary team review, evaluation, and recommendation, referred to in Section 593.041 of the Health & Safety Code, is set forth in Section 593.013 of that Code. The term “interdisciplinary team” is defined as follows in Sec. 591.003(8) of the Health & Safety Code: “‘Interdisciplinary team’ means a group of intellectual disability professionals and paraprofessionals who

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assess the treatment, training, and habitation needs of a person with an intellectual disability and make recommendations for services for that person.”

RESTORATION OF COMPETENCY. Section 55.43 of the Family Code provides for a restoration of competency hearing with respect to a child who has been previously found incompetent (unfit to proceed) as a result of mental illness or an intellectual disability, but who was not ordered by a court to receive inpatient mental health services, committed by a court to a residential health care facility, ordered by a court to receive treatment on an outpatient basis, or was discharged or furloughed from a mental health facility or outpatient center before reaching 18 years of age.

Sec. 55.43. RESTORATION HEARING. (a) The prosecuting attorney may file with the juvenile court a motion for a restoration hearing concerning a child if: (1) the child is found unfit to proceed as a result of mental illness or an intellectual disability; and (2) the child: (A) is not: (i) ordered by a court to receive inpatient mental health services; (ii) committed by a court to a residential care facility; or (iii) ordered by a court to receive treatment on an outpatient basis; or (B) is discharged or currently on furlough from a mental health facility or outpatient center before the child reaches 18 years of age. (b) At the restoration hearing, the court shall determine the issue of whether the child is fit to proceed. (c) The restoration hearing shall be conducted without a jury. (d) The issue of fitness to proceed must be proved by a preponderance of the evidence. (e) If, after a hearing, the court finds that the child is fit to proceed, the court shall continue the juvenile court proceedings. (f) If, after a hearing, the court finds that the child is unfit to proceed, the court shall dismiss the motion for restoration.

It is to be noted that under Section 55.43(c) of the Family Code, there is no right to a jury at the restoration hearing, and the restoration issue is decided by the juvenile court judge.

TRANSFER TO CRIMINAL COURT ON THE INCOMPETENT CHILD’S 18TH BIRTHDAY. Under the provisions of Section 55.44 of the Family Code, the juvenile court must transfer all pending proceedings from juvenile court to a criminal court upon the 18th birthday of a child for whom the juvenile court or a court to which the child’s case was referred had ordered inpatient mental health services or residential care for persons with an intellectual disability, if the child was not discharged or furloughed from such a facility before reaching 18 years of age, and the child is alleged to have engaged in delinquent conduct that included a violation of a

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penal law listed in Section 53.045 of the Family Code. In addition, the transfer requirement applies in that situation even if no adjudication concerning the alleged conduct has been made.

Section 53.045 of the Family Code is entitled “Violent or Habitual Offenders,” and cross-references the Texas Penal Code in listing a variety of serious offenses, including capital murder, murder, aggravated sexual assault, sexual assault, aggravated kidnapping, and aggravated robbery, among other offenses.

Section 55.44 of the Family Code pertaining to transfer to a criminal court states as follows:

Sec. 55.44. TRANSFER TO CRIMINAL COURT ON 18TH BIRTHDAY OF CHILD. (a) The juvenile court shall transfer all pending proceedings from the juvenile court to a criminal court on the 18th birthday of a child for whom the juvenile court or a court to which the child’s case is referred has ordered inpatient mental health services or residential care for persons with an intellectual disability if: (1) the child is not discharged or currently on furlough from the facility before reaching 18 years of age; and (2) the child is alleged to have engaged in delinquent conduct that included a violation of a penal law listed in Section 53.045 and no adjudication concerning the alleged conduct has been made. (b) The juvenile court shall send notification of the transfer of a child under Subsection (a) to the facility. The criminal court shall, before the 91st day after the date of the transfer, institute proceedings under Chapter 46B, Code of Criminal Procedure. If those or any subsequent proceedings result in a determination that the defendant is competent to stand trial, the defendant may not receive a punishment for the delinquent conduct described by Subsection (a)(2) that results in confinement for a period longer than the maximum period of confinement the defendant could have received if the defendant had been adjudicated for the delinquent conduct while still a child and within the jurisdiction of the juvenile court.

Section 55.45 of the Family Code sets forth the statutory standards of care for juveniles who are committed under court orders for mental health services, as well as requirements under certain specified circumstances governing application by administrators of residential care facilities for discharge or release of a child from the facility. With regard to a Constitutional right to treatment if a child has a mental illness or an intellectual disability, see Thomas S. Morgan & Harold C. Gaither, Jr., 29 Tex. Prac. Series § 323, There is a Constitutional Right to Treatment If a Child is Mentally Retarded or Mentally Ill (1999). The legislature added subsection (c) in 2007. Section 55.45 of the Family Code provides as follows:

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Sec. 55.45. STANDARDS OF CARE; NOTICE OF RELEASE OR FURLOUGH. (a) If the juvenile court or a court to which the child’s case is referred under Section 55.37(2) orders mental health services for the child, the child shall be cared for, treated, and released in accordance with Subtitle C, Title 7, Health and Safety Code, except that the administrator of a mental health facility shall notify, in writing, by certified mail, return receipt requested, the juvenile court that ordered mental health services or that referred the case to a court that ordered mental health services of the intent to discharge the child on or before the 10th day before the date of discharge. (b) If the juvenile court or a court to which the child’s case is referred under Section 55.40(2) orders the commitment of the child to a residential care facility, the child shall be cared for, treated, and released in accordance with Subtitle D, Title 7, Health and Safety Code, except that the administrator of the residential care facility shall notify, in writing, by certified mail, return receipt requested, the juvenile court that ordered commitment of the child or that referred the case to a court that ordered commitment of the child of the intent to discharge or furlough the child on or before the 20th day before the date of discharge or furlough. (c) If the referred child, as described in Subsection (b), is alleged to have committed an offense listed in Article 42A.054, Code of Criminal Procedure, the administrator of the residential care facility shall apply, in writing, by certified mail, return receipt requested, to the juvenile court that ordered commitment of the child or that referred the case to a court that ordered commitment of the child and show good cause for any release of the child from the facility for more than 48 hours. Notice of this request must be provided to the prosecuting attorney responsible for the case. The prosecuting attorney, the juvenile, or the administrator may apply for a hearing on this application. If no one applies for a hearing, the trial court shall resolve the application on the written submission.

The rules of evidence do not apply to this hearing. An appeal of the trial court’s ruling on the application is not allowed. The release of a child described in this subsection without the express approval of the trial court is punishable by contempt.

APPEAL. Section 56.01(c) of the Family Code provides that, in general, an appeal may be taken by or on behalf of a child from an order entered under Chapter 55 by a juvenile court committing a child to a facility for treatment of the child’s mental illness or services for a child’s intellectual disability.

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C. DEATH PENALTY COMPETENCY TO BE EXECUTED. The United States Supreme Court has held that the Eighth and Fourteenth Amendments to the Constitution prohibit a state from inflicting the death penalty on a person who is mentally incompetent. See Panetti v. Quarterman, 551 U.S. 930 (2007), and Ford v. Wainwright, 477 U.S. 399 (1986). The Court in Ford recognized that even at early common law there was a “bar against executing a prisoner who has lost his sanity.” Id. at 406. The Court concluded, “Whether its aim be to protect the condemned from fear and pain without comfort of understanding, or to protect the dignity of society itself from the barbarity of exacting mindless vengeance, the restriction finds enforcement in the Eighth Amendment [proscribing cruel and unusual punishment].” Id. at 410. In Panetti, the Court added that a “prisoner’s awareness of the State’s rationale for an execution is not the same as a rational understanding of it. Ford does not foreclose inquiry into the latter.” Panetti, 551 U.S. at 959 (emphasis added). The Court further determined that the trial court should have considered the defendant’s contention “that he suffers from a severe, documented mental illness that is the source of gross delusions preventing him from comprehending the meaning and purpose of the punishment to which he has been sentenced.” Id. at 960. 21 See also Madison v. Alabama, 139 S.Ct. 718, 727-28 (2019) (holding that Panetti also applies to a situation in which the convicted defendant has no rational understanding of why the State is seeking execution due to dementia; reasoning that the “standard has no interest in establishing any precise cause: Psychosis or dementia, delusions or overall cognitive decline are all the same under Panetti, so long as they produce the requisite lack of comprehension.”)

Article 46.05, Texas Code of Criminal Procedure, was enacted with the express purpose of codifying the United States Supreme Court’s holding that an inmate must be mentally competent to be executed. Article 46.05 sets forth detailed procedures for assessing and reviewing the inmate’s level of competency. The reader should bear in mind that the statute applies only to inmates who have been sentenced to be executed for committing capital crimes. The text of the statute provides as follows:

Art. 46.05. Competency to be Executed. (a) A person who is incompetent to be executed may not be executed. (b) The trial court retains jurisdiction over motions filed by or for a defendant under this article. (c) A motion filed under this article must identify the proceeding in which the defendant was convicted, give the date of the final judgment, set forth the fact Any attorney or judge involved in a case involving a defendant’s lack of competency – to be tried, to proceed without legal counsel, or to be executed – should carefully read the full opinion in Panetti. It is appalling that the trial court allowed the defendant to represent himself and proceed to trial notwithstanding a long history of serious mental illness and bizarre behavior. For a thoughtful discussion of Panetti, see Richard J. Bonnie, Commentary, Panetti v. Quarterman: Mental Illness, the Death Penalty, and Human Dignity, 5 OHIO ST. J. CRIM. L. 257 (2007).

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that an execution date has been set if the date has been set, and clearly set forth alleged facts in support of the assertion that the defendant is presently incompetent to be executed. The defendant shall attach affidavits, records, or other evidence supporting the defendant’s allegations or shall state why those items are not attached. The defendant shall identify any previous proceedings in which the defendant challenged the defendant’s competency in relation to the conviction and sentence in question, including any challenge to the defendant's competency to be executed, competency to stand trial, or sanity at the time of the offense. The motion must be verified by the oath of some person on the defendant’s behalf. (d) On receipt of a motion filed under this article, the trial court shall determine whether the defendant has raised a substantial doubt of the defendant's competency to be executed on the basis of: (1) the motion, any attached documents, and any responsive pleadings; and (2) if applicable, the presumption of competency under Subsection (e). (e) If a defendant is determined to have previously filed a motion under this article, and has previously been determined to be competent to be executed, the previous adjudication creates a presumption of competency and the defendant is not entitled to a hearing on the subsequent motion filed under this article, unless the defendant makes a prima facie showing of a substantial change in circumstances sufficient to raise a significant question as to the defendant's competency to be executed at the time of filing the subsequent motion under this article. (f) If the trial court determines that the defendant has made a substantial showing of incompetency, the court shall order at least two mental health experts to examine the defendant using the standard described by Subsection (h) to determine whether the defendant is incompetent to be executed. (g) If the trial court does not determine that the defendant has made a substantial showing of incompetency, the court shall deny the motion and may set an execution date as otherwise provided by law. (h) A defendant is incompetent to be executed if the defendant does not understand: (1) that he or she is to be executed and that the execution is imminent; and (2) the reason he or she is being executed. (i) Mental health experts who examine a defendant under this article shall provide within a time ordered by the trial court copies of their reports to the attorney representing the state, the attorney representing the defendant, and the court. (j) By filing a motion under this article, the defendant waives any claim of privilege with respect to, and consents to the release of, all mental health and medical records relevant to whether the defendant is incompetent to be executed.

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(k) The trial court shall determine whether, on the basis of reports provided under Subsection (i), the motion, any attached documents, and responsive pleadings, and any evidence introduced in the final competency hearing, the defendant has established by a preponderance of the evidence that the defendant is incompetent to be executed. If the court makes a finding that the defendant is not incompetent to be executed, the court may set an execution date as otherwise provided by law. (l) Following the trial court’s determination under Subsection (k) and on motion of a party, the clerk shall send immediately to the court of criminal appeals in accordance with Section 8(d), Article 11.071, the appropriate documents for that court’s review and entry of a judgment of whether to adopt the trial court’s order, findings, or recommendations issued under Subsection (g) or (k). The court of criminal appeals also shall determine whether any existing execution date should be withdrawn and a stay of execution issued while that court is conducting its review or, if a stay is not issued during the review, after entry of its judgment. (l-1) Notwithstanding Subsection (l), the court of criminal appeals may not review any finding of the defendant’s competency made by a trial court as a result of a motion filed under this article if the motion is filed on or after the 20th day before the defendant’s scheduled execution date. (m) If a stay of execution is issued by the court of criminal appeals, the trial court periodically shall order that the defendant be reexamined by mental health experts to determine whether the defendant is no longer incompetent to be executed. (n) If the court of criminal appeals enters a judgment that a defendant is not incompetent to be executed, the court may withdraw any stay of execution issued under Subsection (l), and the trial court may set an execution date as otherwise provided by law.

Article 46.05 sets forth the process for the review of issues regarding an inmate’s competency to be executed. In Mays v. State, 476 S.W.3d 454, 457 (Tex. Crim. App. 2015), the Court of Criminal Appeals construed several subsections of Article 46.05.

The court observed that Article 46.05 “can be broken into two discrete stages. First, a defendant has a threshold burden to make a substantial showing of execution incompetency. Once this threshold burden has been satisfied, a defendant is entitled to further proceedings (the second stage) in accordance with Article 46.05” and due process requirements. Id. The court added that a “‘substantial showing’ requires more than ‘some evidence’ of incompetency, but less than establishing incompetency by a preponderance of the evidence.” Id. (omitting internal citations). In addition, in “making its ruling, the court must consider the defendant’s competency motion, attached documents, any responsive pleadings, and whether there is a presumption of competency due to a previous filing under Article 46.05(d).” Id. at 458.

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In Mays the trial court had determined that the defendant had not demonstrated a substantial showing that he was incompetent to be executed, and the defendant appealed. The Court of Criminal Appeals held that the issue of whether a defendant had presented a substantial showing of incompetency should be reviewed de novo; in the preliminary stage of an Article 46.05 proceeding, the trial “court is not permitted to weigh competing credible evidence of competency. Rather, it may consider only evidence of incompetency.” Id. at 460. See also Druery v. State, 412 S.W.2d 523, 53435 (Tex. Court Crim. App. 2013) (discussing the legislative history of 2007 amendments to Article 46.05 and determining that the statute permits appeals by either party of substantial showing and competency determinations); Wood v.

Stephens, 619 Fed. Appx. 304, 305-06 (5th Cir. 2015) (describing that after the Texas courts had denied the defendant the appointment of counsel and funding for a mental health expert to assist him with his claim that he was incompetent to be executed, the federal district court determined that due process requires the “appointment of counsel and for funding of a mental health expert in order to pursue his [the defendant’s] Panetti claim ….”); Panetti v. Davis, 863 F.3d 366, 374-76 (5th Cir. 2017) (finding the state’s application of Article 46.05 to have denied Panetti due process in an execution attempt subsequent to the Supreme Court’s decision, and determining that the federal district court had erred in denying the appointment of counsel and expert funding; observing that there was no “justification for denying Panetti funding for experts and other investigative resources”).

In Battaglia v. State, 537 S.W.3d 57, 81 (Tex. Crim. App. 2017), the Court of Criminal Appeals reviewed Article 46.05 in light of Panetti, Ford, and lower court opinions and held that a death row inmate: is competent to be executed under Article 46.05 if he knows he is to be executed by the State, he knows the reason he is to be executed, he knows that the execution is imminent, and, despite any delusional beliefs or other mental illness he may have, and despite the fact that he may deny having committed the capital offense, he comprehends that there is a “causal link” between his capital offense and his imminent execution, beyond merely identifying the State’s articulated rationale for the execution.

Another issue that arises somewhat regularly in execution competence cases is whether the state can order a defendant on death row to be forcibly medicated as a means of not only treating the defendant’s mental illness, but also to restore the defendant’s competency – thereby allowing an execution to proceed. The United States Supreme Court has never resolved the question of whether such an order is constitutional. The lower courts are divided. For example, in State v. Perry, 610 So.2d 746 (La. 1992), the Louisiana Supreme Court held that the State of Louisiana could not forcibly medicate an incompetent death row prisoner against his will with antipsychotic medications for the sole purpose of making him competent to be executed.

In contrast to prisoner cases in which medication can be forcibly administered (after adequate due process) for purposes of treatment, the state in Perry wanted to medicate only to make the defendant competent enough to be executed. After the case was remanded to Louisiana by the United States Supreme Court for further

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consideration, the Louisiana court ruled that the state’s proposal to force medication was invalid as well as inhumane. (The court also applied the Louisiana state constitution.) On the other hand, consider Singleton v. Norris, 319 F.3d 1018 (8th Cir.), cert. denied, 124 S. Ct. 74 (2003), in which the Eighth Circuit rejected a death row defendant’s request to halt an Arkansas prison’s administration of involuntary medication that was apparently keeping him competent to be executed.

The Texas Court of Criminal Appeals addressed this issue in Staley v. State, 420 S.W.3d 785 (Tex. Crim. App. 2013). First, the court did not reach the question of whether a trial court’s order of involuntary medication to restore a defendant’s competency would violate the federal or state constitution. Id. at 801. Instead, the court rejected the trial court’s medication order upon concluding that nothing in Article 46.05 authorizes a court to enter such a medication order (nor did any other statute or administrative regulation that authorizes involuntary medication for treatment purposes). Id. at 797-99. For a detailed discussion of the dubious constitutionality of forced medication orders for execution purposes, and the ethical dilemmas posed by the issue for both lawyers and doctors, see Brian D. Shannon and Victor R. Scarano, Incompetency to Be Executed: Continuing Ethical Challenges & Time for a Change in Texas, 45 Tex. Tech L. Rev. 420-51 (2013), available at http://texastechlawreview.org/wp-content/uploads/Shannon-Scarano.PUBLISHED.pdf (also proposing a legislative solution).

The Texas House passed H.B. 1936 during the 2019 legislative session that would have barred application of the death penalty to a person with severe mental illness who had active psychotic symptoms at the time of the crime that substantially impaired the person’s capacity to act rationally or appreciate the nature, consequences, or wrongfulness of the person’s conduct. In such a case, the bill would have required a sentence of life without parole, rather than the death penalty. The bill, however, died in the state senate and did not receive a hearing.

EXECUTION OF A PERSON WITH AN INTELLECTUAL DISABILITY IS CRUEL AND UNUSUAL PUNISHMENT. In Atkins v. Virginia, 536 U.S. 304 (2002), the Supreme Court of the United States held that the execution of a person with an intellectual disability (then called mental retardation) is an unconstitutionally cruel and unusual punishment.

In reaching its decision, the Court noted that as of that time eighteen states had enacted legislation that prohibits execution of persons with intellectual disabilities.

The Court commented, “It is not so much the number of these States that is significant, but the consistency of the direction of change.” Id. at 315. The Court said: Given the well-known fact that anticrime legislation is far more popular than legislation providing protections for persons guilty of violent crimes, the large number of States prohibiting the execution of mentally retarded persons (and the complete absence of States passing legislation reinstating the power to conduct such executions) provides powerful evidence that today our society views mentally retarded offenders as categorically less culpable than the

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average criminal. The evidence carries even greater force when it is noted that the legislatures that have addressed the issue have voted overwhelmingly in favor of the prohibition. Moreover, even in those States that allow the execution of mentally retarded offenders, the practice is uncommon.

Id. at 315-16. The Court concluded that the practice of executing offenders with mental retardation has become truly unusual and that a national consensus has developed against it, commenting further: This consensus unquestionably reflects widespread judgment about the relative culpability of mentally retarded offenders, and the relationship between mental retardation and the penological purposes served by the death penalty. Additionally, it suggests that some characteristics of mental retardation undermine the strength of the procedural protections that our capital jurisprudence steadfastly guards.

Id. at 317.

The Court expanded on the effect that an intellectual disability can have with respect to the procedural protections required in capital cases: [C]linical definitions of mental retardation require not only subaverage intellectual functioning, but also significant limitations in adaptive skills such as communication, self-care, and self-direction that became manifest before age 18. Mentally retarded persons frequently know the difference between right and wrong and are competent to stand trial. Because of their impairments, however, by definition they have diminished capacities to understand and process information, to communicate, to abstract from mistakes and learn from experience, to engage in logical reasoning, to control impulses, and to understand the reactions of others. There is no evidence that they are more likely to engage in criminal conduct than others, but there is abundant evidence that they often act on impulse rather than pursuant to a premeditated plan, and that in group settings they are followers rather than leaders. Their deficiencies do not warrant an exemption from criminal sanctions, but they do diminish their personal culpability.

Id. at 318. Finally, the Court concluded: Our independent evaluation of the issue reveals no reason to disagree with the judgment of “the legislatures that have recently addressed the matter” and concluded that death is not a suitable punishment for a mentally retarded criminal. We are not persuaded that the execution of mentally retarded criminals will measurably advance the deterrent or the retributive purpose of the death penalty. Construing and applying the Eighth Amendment in the light of our “evolving standards of decency,” we therefore conclude that such punishment is excessive and that the Constitution “places

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a substantive restriction on the State's power to take the life” of a mentally retarded offender.

Id. at 321. See also Hall v. Florida, 572 U.S. 701, 718-19 (2014) (holding that a state cannot refuse to consider other evidence of a person’s intellectual disability even if the defendant has an IQ score greater than 70).

NO TEXAS STATUTE TO DATE ON EXECUTION OF A PERSON WITH AN INTELLECTUAL DISABILITY. Even though the Atkins case was decided by the United States Supreme Court in 2002, the Texas Legislature still has not enacted statutory provisions governing the standards and procedures to be followed in capital cases involving defendants with intellectual disabilities. Although state legislators have considered bills attempting to adopt guiding standards and procedures during several past legislative sessions, nothing has been enacted. In 2019, the Texas House passed H.B. 1139, which would have provided standards to guide courts in determining intellectual disabilities in capital cases. The bill would have been a substantial improvement to Texas law, but it died in the state senate.

JUDICIAL GUIDELINES PROVIDED BY THE TEXAS COURT OF CRIMINAL APPEALS, IN THE ABSENCE OF STATUTORY GUIDELINES. Given the failure of the Legislature to act, the Texas Court of Criminal Appeals adopted guidelines in 2004 in a case that raised Atkins claims, Ex parte Briseno, 135 S.W.3d 1 (Tex. Crim. App. 2004). The court identified the need to “provide the bench and bar with temporary judicial guidelines in addressing Atkins claims,” and the Court set out the “judicial standards for courts considering those claims under article 11.071 [of the Texas Code of Criminal Procedure].” Id. at 5.

The Court commented in Briseno: This Court does not, under normal circumstances, create law. We interpret and apply the law as written by the Texas Legislature or as announced by the United States Supreme Court. In Atkins the Supreme Court announced that there is a national consensus that those who suffer from mental retardation should be exempt from the death penalty, but it simultaneously left to the individual states the substantive and procedural mechanisms to implement that decision. The Texas legislature has not yet enacted legislation to carry out the Atkins mandate. Nonetheless, this Court must now deal with a significant number of pending habeas corpus applications claiming that the death row inmate suffers from mental retardation and thus is exempt from execution. Recognizing that ‘justice delayed is justice denied’ to the inmate, to the victims and their families, and to society at large, we must act during this legislative interregnum . . . . Id. at 4-5.

This was an unusual task for the Court of Criminal Appeals, and more properly should have been the concern of the Texas Legislature. But, with the state legislature not having acted on the matter (neither then nor now), and given the existence of

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numerous pending cases awaiting resolution, the Court of Criminal Appeals decided that it had to act to fill the gap. The Court stated: This Court has previously employed the definitions of ‘mental retardation’ set out by the American Association on Mental Retardation (AAMR), and that contained in section 591.003(13) of the Texas Health & Safety Code. Under the AAMR definition, mental retardation is a disability characterized by: (1) ‘significantly subaverage’ general intellectual functioning; (2) accompanied by ‘related’ limitations in adaptive functioning; (3) the onset of which occurs prior to the age of 18. As noted above, the definition under the Texas Health & Safety Code is similar: “‘mental retardation’ means significantly subaverage general intellectual functioning that is concurrent with deficits in adaptive behavior and originates during the developmental period.” Until the Texas Legislature provides an alternate statutory definition of “mental retardation” for use in capital sentencing, we will follow the AAMR or section 591.003(13) criteria in addressing Atkins mental retardation claims.

Id. at 7-8. It is important to note that in Briseno the court utilized the ninth edition of the AAMR manual (AAMR-9) and set out seven factors for courts to focus on in weighing evidence of an intellectual disability. See id. at 8-9 (setting out factors).

UNITED STATES SUPREME COURT REJECTS BRISENO FACTORS – TWICE. In Moore v. Texas, 137 S.Ct. 1039 (2017), the United States Supreme Court determined that the Texas Court of Criminal Appeals’ reliance on the Briseno factors was flawed when it rejected a state habeas court’s recommendation concerning whether a death row defendant had an intellectual disability. In part, the Court held that the Briseno factors do not comport with current medical understanding. The state habeas court had relied on current medical standards in the 11th edition of the American Association on Intellectual and Developmental Disabilities, yet the Court of Criminal Appeals relied on Briseno, which as noted above focused on AAMR-9 standards. In addition, the Court in Moore observed that the Briseno factors were not based on any medical or judicial authority. In sum, the Court concluded that the Court of Criminal Appeals’ determination that the defendant’s IQ scores had established that the defendant was not intellectually disabled did not comport with Hall v. Florida (described above). Accordingly, the United States Supreme Court vacated the opinion by the Texas Court of Criminal Appeals and remanded the case.

A helpful way to consider the United States Supreme Court’s rationale in Moore is to examine the following comments by Texas Court of Criminal Appeals Judge Alcala in her dissenting opinion below: [I]t is time for Texas to reevaluate the decade-old, judicially created standard in Ex Parte Briseno in light of a shift in the consensus of the medical community regarding what constitutes intellectual disability, and in light of the Supreme Court’s recent holding in Hall v. Florida indicating that courts

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are required to consider that consensus in assessing intellectual disability claims (citing Briseno and Hall v. Florida, 134 S. Ct. 1986 (2014)).

Ex Parte Moore, 470 S.W.3d 481, 528 (Tex. Crim. App. 2015), vacated by Moore v.

Texas, 136 S.Ct. 2407, Alcala, J., dissenting. Moreover, at the Supreme Court – even in dissent – Chief Justice Roberts observed that the Briseno factors were “an unacceptable method of enforcing the guarantee of Atkins.” Moore, 137 S.Ct. 1039, __ (Roberts, Ch. J., dissenting).

After the case was remanded to the Texas Court of Criminal Appeals, that court reconsidered the matter—but reached the same conclusion that Moore was not a person with an intellectual disability. That decision was also appealed, and once again, the United States Supreme Court reversed the Court of Criminal Appeals. See Moore v. Texas, 139 S.Ct. 666, 667 (2019). In a per curium opinion, the Court found that the Court of Criminal Appeals had largely repeated “the analysis we previously found wanting.” Id. at 670. The Court was also concerned that the Court of Criminal Appeals had again focused more on the defendant’s adaptive strengths, as opposed to his adaptive deficits. Id. In addition, the Court determined that notwithstanding the statement by the Court of Criminal Appeals that it would not employ the Briseno factors after the remand, “it seems to have used many of those factors in reaching its conclusion.” Id. at 671. In sum, the Court determined that “on the basis of the trial court record, Moore ha[d] shown he is a person with intellectual disability.” Id. at 672.

Given the two decisions by the United States Supreme Court in Moore, it is critical that the Texas Legislature step in and adopt – at long last – a set of procedures to implement Atkins and Florida v. Hall to guide our state courts in determining whether a person accused in a capital murder case has an intellectual disability or not. As noted above, legislative efforts in 2019 did not ultimately succeed despite a bill’s having passed in the Texas House. Many other states have found ways to enact such laws, and Texas should join the fold.

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V. INSANITY DEFENSE Without doubt, the most discussed and most controversial statute involving alleged offenders with mental illness is the insanity defense. This Chapter will focus on (1) the existing defense as it currently applies to adult defendants, (2) the different defense for juveniles, and (3) various proposals for reform.

A. ADULT DEFENDANTS TEXAS PENAL CODE. The insanity defense is set forth in Section 8.01 of the Texas Penal Code:

Sec. 8.01. Insanity. (a) It is an affirmative defense to prosecution that, at the time of the conduct charged, the actor, as a result of severe mental disease or defect, did not know that his conduct was wrong. (b) The term “mental disease or defect” does not include an abnormality manifested by repeated criminal or otherwise antisocial conduct.

HISTORY OF THE INSANITY DEFENSE USED IN TEXAS. The insanity defense set forth in Section 8.01 of the Texas Penal Code is, in essence, a variation on the old M’Naghten test, first promulgated in England in 1843. It is necessary to know something of the history of the M’Naghten test to appreciate how inconsistent it is with modern medical knowledge, and to understand why the present Texas insanity defense provided for in Section 8.01 of the Penal Code is inadequate and should be changed.

M’NAGHTEN’S CASE. The name of the test comes from M’Naghten’s Case, 8 Eng. Rep. 718 (1843), in which a defendant named Daniel M’Naghten was prosecuted for the murder of the private secretary of Sir Robert Peel, the Prime Minister of England. M’Naghten had intended to kill Peel, but by mistake shot Peel’s private secretary instead. M’Naghten was acquitted on grounds of insanity, and the acquittal caused widespread public outrage. Queen Victoria was also concerned given that she and other members of the English royal family had been the targets of previous assassination attempts. Accordingly, she summoned the House of Lords to “take the opinion of the Judges on the law governing such cases.” United States v. Freeman, 357 F.2d 606, 617 (2d Cir. 1966). Responding to the Queen’s summons, the House of Lords conducted a general inquiry into the matter of the insanity defense, and asked the judges of the Queen’s Bench a series of questions regarding the standards that should be employed.

The insanity test that was actually used in the court’s instructions to the jury at Daniel M’Naghten’s trial had been influenced by the surprisingly enlightened work of Dr. Isaac Ray, who had been highly critical of the “right-wrong” test in his 1838 book entitled MEDICAL JURISPRUDENCE OF INSANITY. But in responding to the questions put to them by the House of Lords, the English judges in effect reversed the approach that had been used in M’Naghten’s trial, and adopted instead what has come to be

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known as the M’Naghten test. It is still known by that name, even though the “M’Naghten test” (or “M’Naghten rule” as it is sometimes called) announced by the English judges was not the test used in the actual trial of Daniel M’Naghten’s case.

American jurisdictions, including Texas, adopted the M’Naghten test from English law, although for a brief period from 1974 to 1983 Texas used a different, more appropriate, insanity test, as will be explained below.

THE “RIGHT-WRONG” TEST AND ITS NARROW EXCLUSIVE FOCUS ON COGNITIVE CAPACITY. The M’Naghten test is sometimes referred to as the “right-wrong” test because of its exclusive focus on whether the accused person knew the difference between right and wrong at the time of his or her alleged offense.

This exclusive focus on an accused person’s cognitive capacity has been widely criticized by the courts, by psychiatrists and other mental health professionals, and by the legal profession. A serious mental illness may leave an individual’s intellectual understanding and cognitive capacity relatively unimpaired, but can still affect the person’s emotions and reason to such a degree that the individual cannot fully appreciate reality and sometimes cannot completely control his or her behavior in a rational manner.

That exclusive focus on cognitive capacity arose from the primitive psychological theories of the nineteenth century and earlier. It was a time in which “psychiatry was literally in the Dark Ages,” when “[p]hrenologists believed that the human brain was divided into thirty-five separate areas, each with its own peculiar mental function,” and unfortunately “by an accident of history, the rule of M’Naghten’s case froze these concepts into the common law just at a time when they were becoming obsolete.”

United States v. Freeman, 357 F.2d 606, 616 (2d Cir. 1966).

As one court put it, “The vast absurdity of the application of the M’Naghten Rules in order to determine the sanity or insanity, the mental health or lack of it, of the defendant by securing the answer to a single question: Did the defendant know the difference between right and wrong, appears clearly when one surveys the array of symptomatology which the skilled psychiatrist employs in determining the mental condition of an individual.” United States v. Currens, 290 F.2d 751, 766-67 (3d Cir. 1961). To ask merely whether a person knows right from wrong “is to ask a question irrelevant to the nature of his [or her] mental illness or to the degree of his [or her] criminal responsibility.” People v. Drew, 583 P.2d 1318, 1322 (Cal. 1978).

Because the M’Naghten test restricts psychiatric testimony to the narrow area of a defendant’s cognitive capacity, it frequently makes it difficult, if not impossible, for expert witnesses to place before the jury a complete picture of a defendant’s mental illness. For this reason, the M’Naghten test fails to aid the criminal justice system in identifying many defendants who may suffer from psychotic symptoms of serious mental illness, and it often provides a defense only for persons who have serious cognitive impairment.

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ADOPTION BY TEXAS OF THE AMERICAN LAW INSTITUTE TEST. In recognition of these shortcomings of the old narrow M’Naghten test, Texas expanded and modernized its insanity test when it adopted as part of the Texas Penal Code of 1973 a modified version of the insanity test that had been developed by the American Law Institute (ALI) as a part of the ALI’s 1962 Model Penal Code project.

The ALI test had previously been adopted by many other states and by most of the federal circuits. The ALI test takes into account the extent to which a serious mental illness may have impaired an individual’s ability to control his or her behavior.

Accordingly, the 1973 Texas enactment added a “volitional” prong to the Texas insanity defense consistent with the ALI recommendation. The volitional prong of the ALI test derived from courts’ dissatisfaction with the narrow inquiry under the M’Naghten standard and some states’ having developed and tinkered with the socalled “irresistible impulse” test. Professor Richard Bonnie of the University of Virginia and his colleagues have described the underlying theory supporting the volitional prong as follows: It rests on the notion … that the conviction of crime expresses a moral judgment about the defendant’s behavior. Moral judgments about people, the argument goes, are premised on the concept of free will. In general, behavior is the product of choice, and people who make bad choices are subject to moral condemnation. In cases where mental disease or defect robs people of the capacity to choose not to engage in criminal behavior, the argument concludes, it is inappropriate to condemn them morally and therefore inappropriate to convict them of a crime.

RICHARD J. BONNIE ET AL., A CASE STUDY IN THE INSANITY DEFENSE: THE TRIAL OF JOHN W. HINCKLEY 16 (3d ed. 2008).

The 1973 Texas version of the test asked not only about knowledge of right and wrong, but asked also whether the individual, as a result of mental disease or defect, was incapable of conforming his or her conduct to the requirements of the law allegedly violated. Although the 1973 Texas insanity defense revisions were based largely on the ALI test, they differed in one significant respect. The short-lived Texas standard retained the narrow “did not know” language for the M’Naghten prong of the test, as opposed to the ALI’s recommended use of “appreciate the wrongfulness” verbiage. As the late Senator Ray Farabee observed, “The use of the term “know” in reference to whether conduct was wrong was … more restrictive.” Ray Farabee & James L. Spearly, The New Insanity Law in Texas: Reliable Testimony and Judicial Review of Release, 24 S. TEX. L. REV. 671, 674 (1983). Thus, even while including a volitional component in 1973, the Texas Legislature opted not to use the term “appreciate” for the cognitive prong of the test, which could more broadly allow consideration of emotional and affective aspects of serious mental illnesses, as opposed to a more limited focus on cognitive or intellectual mental functioning. Id.

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THE HINCKLEY CASE AND REACTION TO IT. The new Texas test worked well in practice, but in 1982 when John W. Hinckley, Jr., was acquitted on the basis of an insanity defense of shooting and wounding President Ronald Reagan and three other persons, there was a national outcry against the insanity defense similar to that of 1843 in England in response to M’Naghten’s acquittal.

In 1983, responding to calls for “reform,” Texas abandoned the important volitional element of its 1973 insanity test, and went back to the old nineteenth century M’Naghten test with its narrow, exclusive focus on cognition and its primitive understanding of the human mind. This remains the test for insanity that we have today in Texas for adults, as set forth in Section 8.01 of the Texas Penal Code.

The legislative sponsor of the 1983 Texas revisions, former Senator Ray Farabee, later wrote that over ninety percent of the residents in his senatorial district favored a restriction on the insanity defense in responding to polling following the Hinckley verdict. Id. at 671. Ironically, another contemporaneous case that had arisen in Senator Farabee’s district had also influenced the powerful legislator. In a chilling forerunner of the later cases of Andrea Yates, Deanna Laney, and Dena Schlosser, which will be discussed infra, a young mother who had been diagnosed “as having experienced a post-partem [sic] psychosis” had “cut out her young daughter’s heart in an effort to exorcise a devil which she thought possessed her child.” Id. at 671-72.

Following an insanity acquittal, the state hospital released the woman after less than two years of treatment without further required supervision. Id. Given the 1983 enactment, Texas jettisoned the volitional component of the 1973 reforms and has instead employed the limited, inadequate “right-wrong” test for the last three-plus decades. It is unfortunate for our state that we have so narrowed our insanity defense to outmoded nineteenth century parameters that we inquire only about a defendant’s knowledge that his or her acts were “wrong,” rather than going on to inquire about whether the defendant appreciated the wrongfulness of the conduct or was capable of conforming his or her conduct to the law.

The extreme narrowness of the Texas test, and its inconsistent results, were illustrated by the later Texas cases of Andrea Yates, Deanna Laney, and Dena Schlosser, three women who killed or seriously injured their own children and who raised the insanity defense at their trials in Texas state courts.

There was little or no dispute among the experts involved in the Yates case that Ms. Yates was suffering from serious mental illness and was extremely delusional at the time she killed her five children by drowning, yet the jury in her initial trial rejected her insanity defense, and she was convicted and sentenced to prison. That conviction was later reversed and the case remanded for further proceedings. Yates v.

State, 171 S.W.3d 215 (Tex. App. – Houston [1st Dist.] 2005, pet. ref’d). In July 2006, a new jury in the retrial of Ms. Yates returned a verdict of not guilty by reason of insanity.

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Similarly, all five of the medical experts in Ms. Laney’s trial agreed that Ms. Laney was seriously mentally ill, delusional, and legally “insane” at the time she killed her children by stoning, and Ms. Laney was acquitted.

Dena Schlosser cut off the arms of her ten-month-old daughter while suffering from psychotic religious ideations. In Ms. Schlosser’s case, a first jury deadlocked 102 on the insanity issue, but a second trial before a judge alone, and lasting about five minutes, resulted in a verdict of not guilty by reason of insanity.

It seems clear that all three of these women were clearly in need of custodial hospitalization and long-term psychiatric treatment, but under the initial jury verdicts in the cases only two of them would have received such treatment; one was initially sentenced to prison.

As I noted in a more detailed law review article: These tragic cases, involving defendants with severe psychoses, illustrate that the Texas insanity defense bears no relationship to modern understandings of serious mental illness. Contrary to popular myth, the defense is rarely invoked and seldom successful. Notwithstanding the ultimate results in these three cases, the Texas test of insanity is so narrow that it is virtually meaningless.

Brian D. Shannon, The Time is Right to Revise the Texas Insanity Defense: An Essay, TECH L. REV. 67, 69-70 (2006-07), 39 TEX. http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1829284.

It is often referenced that the insanity defense is pleaded in fewer than one percent of criminal cases and is raised successfully in about a quarter of those cases. Even that number is high, however, in that it includes those cases in which the state has not contested the issue.

An analysis of Section 8.01 of the Texas Penal Code will provide some insight into how our courts could reach such radically varying results in the cases of three women plainly suffering from serious mental illness and whose conduct was caused by and clearly attributable to such mental illness. It is also worth considering a more recent case in which a Texas jury rejected the insanity defense in the 2015 trial of Eddie Ray Routh, who was found guilty of murdering famed “American Sniper” Chris Kyle.

National and state media remained fixated on this case for weeks. See Routh v. State, 516 S.W.3d 677 (Tex. App. – Eastland 2017, no pet.) (affirming conviction). Indeed, a review of caselaw interpreting the Texas insanity defense reveals a plethora of cases that reject defense challenges to jury determinations rejecting the insanity defense.

ANALYSIS OF SECTION 8.01, TEXAS PENAL CODE. Subsection (a) of Section 8.01 of the Texas Penal Code provides that it is an affirmative defense to prosecution that, at the time of the conduct charged, the actor, as a result of severe mental disease or defect, did not know that his or her conduct was wrong.

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AN AFFIRMATIVE DEFENSE. As defined by Section 2.04 of the Texas Penal Code, an affirmative defense is one that the defendant must allege and prove by a preponderance of the evidence. Hence, a defendant desiring to use the insanity defense must both raise that issue and present evidence in support of it. The jury is instructed that the terminology “preponderance of the evidence” means the greater weight of the credible evidence.

“SEVERE” MENTAL ILLNESS. The term “severe” in Subsection 8.01 was an innovation in 1983, never before having been a part of the Texas insanity test or the M’Naghten test in other jurisdictions. The Texas Legislature added the term as part of the 1983 “reforms.” Congress also added the term “severe” to the M’Naghten test it enacted in 1984 for all federal courts. The federal insanity test is codified in 18 U.S.C. § 17(a). 22 The term “severe” is not defined in the Texas statute or in the federal statute, but presumably the legislative purpose was to ensure that minor disorders or personality defects will not provide a basis for a successful insanity defense.

The Texas Court of Criminal Appeals has commented that “[i]ntroducing [the term] ‘severe’ seems quite superfluous.” Pacheco v. State, 757 S.W. 2d 729, 735 n.7 (Tex. Crim. App. 1988). The Court reasoned, “[I]f as a result of mental disease or defect an accused does not know his conduct is wrong when he engages in it, then surely his mental disease or defect is severe.” Id. With respect to the federal insanity test, one federal district court has stated that a trial court’s severity analysis “consists of more than locating the magical word ‘severe’ in the diagnosis.” United States v. Rezaq, 918 F. Supp. 463, 465 n.6 (D.D.C. 1996). The court continued, “Rather, section 17(a) contemplates a more thoroughgoing approach, in which a court reviews the diagnosis for overall indications of the severity of defendant’s mental disease or defect.” Further eschewing a “magical word” analysis, the court continued: “The mere presence of the word ‘severe’ in a diagnosis that suggests a mild condition will not constitute a defense under section 17(a). Similarly, the absence of the word ‘severe’ will not necessarily mean that the condition diagnosed does not meet the standards of section 17(a).” Id. Another federal district court explained that: “The legislative history states that the term ‘severe’ was added to the term ‘mental disease or defect’ specifically to exclude antisocial personality ‘tendencies’ from the purview of the insanity defense.”

United States v. Henley, 8 F. Supp. 2d 503, 506 (E.D.N.C. 1998). The court added: “The concept of severity was added to emphasize that non-psychotic behavior disorders or neuroses such as an ‘inadequate personality,’ ‘immature personality,’ or a pattern of ‘antisocial tendencies’ do not constitute the defense.” Id. at 506-507.

22 The federal test for insanity provides: “It is an affirmative defense to a prosecution under any Federal statute that, at the time of the commission of the acts constituting the offense, the defendant, as a result of a severe mental disease or defect, was unable to appreciate the nature and quality or the wrongfulness of his acts. Mental disease or defect does not otherwise constitute a defense.” 18 U.S.C. § 17(a).

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It is to be expected that there will be further Texas and federal court decisions dealing with the meaning of the term “severe” in the context of the insanity defenses provided by Texas and federal law.

EXCLUSIVE, NARROW FOCUS ON COGNITION. As indicated in the discussion above, for the defense to be successful, the jury must be convinced by a preponderance of the evidence that the defendant, because of severe mental disease or defect, did not know that his or her conduct was wrong. Cognition is the narrow exclusive test, regardless of whether a defendant’s mental illness impairs the ability to control one’s conduct, and no matter how serious the defendant’s mental illness may be.

LEGAL WRONG. Although the point is not without some difficulty under the applicable decisions of the Texas courts, the “wrong” referred to in the statute appears to mean legal wrong. That is, the question is whether the defendant knew that his or her conduct was legally wrong as opposed to being morally wrong.

In the case of Bigby v. State of Texas, 892 S.W.2d 864, 878 (Tex. Crim. App. 1994), the Court of Criminal Appeals noted that “[s]everal expert witnesses testified appellant knew his conduct was illegal, however, these experts contended that appellant did not know the act was ‘morally’ wrong,” the contention being that “appellant believed that regardless of society’s views about this illegal act and his understanding it was illegal, under his ‘moral’ code it was permissible.” The court then stated: This focus upon appellant’s morality is misplaced. The question of insanity should focus on whether a defendant understood the nature and quality of his action and whether it was an act he ought to do. Zimmerman v. State, 85 Tex. Cr. R. 630, 215 S.W. 101, 105 (1919) (on rehearing). By accepting and acknowledging his action was “illegal” by societal standards, he understood that others believed his conduct was “wrong.”

Id. at 878.

It would appear, then, under the court’s language and analysis in Bigby, that a defendant who knows that his or her action was illegal by societal standards – in other words, a defendant who knows that the act is legally wrong, that the act is prohibited by law – will be viewed as having understood that others believed his or her conduct was wrong, and therefore such a defendant knows that his or her conduct is “wrong” within the meaning of Section 8.01(a) of the Texas Penal Code.

See Reyna v. State of Texas, 116 S.W. 3d 362, 368 (Tex. App.—El Paso 2003, no pet.).

The Texas Court of Criminal Appeals subsequently re-affirmed the Bigby analysis. In Ruffin v. State, 270 S.W.3d 586, 592 (Tex. Crim. App. 2008), the court stated the following:

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Under Texas law, “wrong” in this context means “illegal.” Thus, the question for deciding insanity is this: Does the defendant factually know that society considers this conduct against the law, even though the defendant, due to his mental disease or defect, may think that the conduct is morally justified?

Other cases have applied the same kind of analysis, examining the evidence of the record in order to determine whether the defendant engaged in behavior (such as efforts to avoid detection and arrest, concealing incriminatory evidence, attempting to avoid leaving fingerprints, and the like) indicating that he or she knew that his or her conduct was illegal. See McAfee v. State, 467 S.W.3d 622, 636 (Tex. App.— Houston [1st Dist.] 2015, no pet.), Dashield v. State of Texas, 110 S.W.3d 111, 115 (Tex. App.—Houston [1st Dist.] 2003, pet. ref’d); Love v. State of Texas, 909 S.W. 2d 930, 943 (Tex. App.—El Paso 1995, pet. ref’d); Plough v. State of Texas, 725 S.W. 2d 494, 500 (Tex. App.—Corpus Christi 1987, no pet.).

The result is that it is extremely challenging for defense counsel to prevail on an insanity defense in Texas when the issue is contested, given that very few defendants, even those who are seriously mentally ill and unable to control their behavior, are unable to know that their conduct is prohibited by law. And, if a defendant knows that his or her conduct is prohibited by law, then he or she is legally “sane” under Texas criminal law. Consequently, many defendants who are in need of long-term psychiatric treatment are nonetheless convicted and imprisoned, are possibly provided appropriate psychiatric treatment while incarcerated, and eventually released into the community.

It should be noted, of course, that there are indeed occasional exceptions to the general rule about the futility of using the insanity defense in Texas, as illustrated by the Andrea Yates, Deanna Laney, and Dena Schlosser cases that are discussed in detail in Subchapter VI-C, infra. Another case worthy of mention is the unreported decision in Lopez v. State, 2007 Tex. App. LEXIS 7183 (Tex. App.—Corpus Christi 2007, pet. ref’d.). In Lopez, the Corpus Christi Court of Appeals, in considering testimony by a psychiatrist that the defendant, because of his severe mental illness, did not know that what he was doing was wrong or illegal, decided that the evidence did not support the jury’s rejection of the defendant’s insanity defense. The court accordingly reversed the judgment of conviction. Id. at *35, *43-44. The Lopez case is an interesting example of a Texas appellate court carefully examining extensive detailed testimony about a defendant’s mental illness, and then reaching a conclusion different from that of the convicting jury, but such a result is very rare. It should also be noted that the court, in Lopez, understood the term “wrong” in Section 8.01 as meaning legal wrong, and the court cited the Bigby case for that proposition.

ABNORMALITY MANIFESTED BY ANTISOCIAL CONDUCT EXCLUDED. Subsection 8.01(b) provides that the term “mental disease or defect” does not include an abnormality manifested by repeated criminal or otherwise antisocial conduct. The purpose of Subsection (b) was to “exclude psychopaths from the insanity defense for fear that recidivists would qualify if they could be characterized as psychopaths.” Seth S. Searcy III & James R. Patterson, Practice

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Commentary, TEX. PENAL CODE ANN. § 8.01, at 179, 181 (Vernon 1974). Of course, as Searcy and Patterson pointed out in their practice commentary, “no psychopath manifests his psychopathy solely by repeated criminal conduct and … [such persons] invariably show some other symptom.” Id. PROCEDURE FOLLOWED IN ADMINISTERING THE INSANITY TEST IN TEXAS. Although Section 8.01 of the Texas Penal Code sets forth the insanity defense for purposes of Texas criminal law, another collection of statutes in Chapter 46C of the Texas Code of Criminal Procedure describe the procedures that are to be observed in cases in which the insanity defense is in issue. These procedural provisions were re-codified in 2005, with several amendments having been enacted thereafter.

It should be noted at the outset that, as explained in my more detailed law review article on the Texas insanity defense, the 2005 statute re-codified the procedures, but not the substantive standard for insanity: During the 2005 legislative session, the Texas Legislature enacted Senate Bill 837, which constituted a substantial overhaul of the procedures relating to the insanity defense in Texas. S.B. 837 repealed former Texas Code of Criminal Procedure Article 46.03 and replaced it with new Chapter 46C. The changes in the law are effective for any offense committed on or after September 1, 2005, the effective date of the Act. S.B. 837 did not include any changes to the substantive test for insanity in Texas but instead focused on procedure. Brian D. Shannon, The Time is Right to Revise the Texas Insanity Defense: An Essay, 39 Tex. Tech L. Rev. 67, 76 (2006-07).

Brian D. Shannon, The Time is Right to Revise the Texas Insanity Defense: An Essay, TECH L. REV. 67, 69-70 (2006-07), 39 TEX.

http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1829284.

That article also noted the following: S.B. 837 largely re-codified former Article 46.03 of the Texas Code of Criminal Procedure, yet also made important changes. For example, the new Chapter 46C now includes training and qualification requirements for experts that mirror those mandated for experts who conduct evaluations of a defendant’s competency to stand trial. Chapter 46C also has changed the deadline by when a defendant must give notice that an insanity defense will be pursued.

Id. at 79. We turn now to an analysis of the major provisions of Chapter 46C, Texas Penal Code.

DEFINITIONS. Article 46C.001, Texas Code of Criminal Procedure, provides definitions of various terms, including “Commission” in Article 46C.001(1), which means the Texas Health and Human Services Commission. Article 46C.001(3) defines “mental illness” as having “the meaning assigned by Section 571.003, Texas Health & Safety Code,” and Article 46C.001(4) defines “mental retardation” as

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having the meaning assigned by Chapter 591, Texas Health & Safety Code.

Legislation enacted in 2015 updated the term “mental retardation” in Chapter 591 and replaced it with the term “intellectual disability.” The legislature, however, has not yet made a corresponding change in Article 46.001. Presumably, this was an oversight that will be corrected in a future legislative session.

Art. 46C.001. Definitions. In this chapter: (1) “Commission” means the Health and Human Services Commission.

(2) “Executive commissioner” means the executive commissioner of the Health and Human Services Commission.

(3) “Mental illness” has the meaning assigned by Section 571.003, Health and Safety Code.

(4) “Mental retardation” has the meaning assigned by Section 591.003, Health and Safety Code.

(5) “Residential care facility” has the meaning assigned by Section 591.003, Health and Safety Code.

SUBMISSION OF THE INSANITY DEFENSE. The insanity defense will be submitted to the jury only if it is supported by competent evidence. As noted previously, it is the defendant’s obligation to give notice of his or her intent to raise the insanity defense, to raise the issue properly, and support it with adequate evidence at trial.

Article 46C.051 specifically requires notice of intent to raise the insanity defense:

Art. 46C.051. Notice of Intent to Raise Insanity Defense. (a) A defendant planning to offer evidence of the insanity defense must file with the court a notice of the defendant’s intention to offer that evidence. (b) The notice must: (1) contain a certification that a copy of the notice has been served on the attorney representing the state; and (2) be filed at least 20 days before the date the case is set for trial, except as described by Subsection (c). (c) If before the 20-day period the court sets a pretrial hearing, the defendant shall give notice at the hearing.

Article 46C.051 delineates the rules relating to the timing for the required notice.

As I stated in my related law review article: Under former article 46.03, to raise the insanity defense, a defendant had to provide notice of intent at least ten days prior to the date set for trial, at any pretrial hearing set before that ten-day window, or at the time the defendant raised an issue of incompetency to stand trial if the issue was pursued. This latter timing requirement did not make a great deal of sense.

An evaluation of a defendant’s competency to stand trial will often take place

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early in the criminal process. Defense counsel, however, might often be unprepared to form a judgment about whether to pursue an insanity defense until after reviewing experts’ reports of mental health evaluations regarding competency to stand trial or legal insanity. S.B. 837 removed this aspect of the former law and now requires notice either at least twenty days before the date set for trial or at the time of a pretrial hearing if set earlier than the twenty-day window.

Brian D. Shannon, supra, at 79 (citations omitted).

EFFECT OF FAILURE TO GIVE NOTICE. Article 46C.052 sets forth the consequences of a defendant’s failure to give proper notice of intent to raise the insanity defense. The statute includes an exception for good cause, but the trial court has substantial discretion in determining good cause.

Art. 46C.052. Effect of Failure to Give Notice. Unless notice is timely filed under Article 46C.051, evidence on the insanity defense is not admissible unless the court finds that good cause exists for failure to give notice.

APPOINTMENT OF EXPERTS. Article 46C contains extensive detailed provisions regarding the appointment of experts to examine a defendant, sets forth the qualifications required for such experts, and delineates the requirements pertaining to the written reports of the experts, as well as provisions concerning the examination of the defendant. These were intended to mirror the provisions regarding experts set forth in the 2003 revisions to Chapter 46B pertaining to competency evaluations (discussed in detail in Subchapter IV-A, supra).

Unfortunately, however, the qualifications set forth in Article 46C.102 did not completely track those from Chapter 46B, and when the expert qualifications under Chapter 46B were amended in 2011, there were no corresponding amendments to Article 46C.102. Corrective amendments were introduced during the 2013 legislative session, but the bill never reached the House floor. That legislation would have removed the “experience” requirement in subsection (2)(B)(ii) and made the qualifications for experts who conduct insanity evaluations to be the same as those set forth in Chapter 46B for competency evaluations. It is to be hoped that this oversight in Article 46C.102 can be corrected in a future legislative session, but it has not yet occurred.

Note also that at least one court has held that the expert qualifications provisions apply only to court-appointed experts. According to that decision, an expert hired by the state need not meet the qualifications set forth in Article 46C.102. See Pham v.

State, 463 S.W.3d 660, 670 (Tex. App. – Amarillo 2015, pet. ref’d). The Pham court also observed that the Article 46.102 qualifications requirements would not have to apply to “an expert of the defendant’s own choice.” Id. at 668. One would hope, however, that prosecutors and defense counsel would nonetheless want to hire experts who meet the statutory minimums. Moreover, even if the Amarillo Court of Appeals were correct in its statutory interpretation in Pham, a trial court should give much less weight to any expert who does not meet the statutory requirements and

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should strongly consider excluding that expert’s testimony under Rule 702 of the Texas Rules of Evidence. Finally, for a case involving serious issues that arose when a court utilized an expert who did not qualify under the comparable expert provisions of Chapter 46B, consider Owens v. State, 437 S.W.3d 584, 588 (Tex. App. – Texarkana 2014), rev'd, 473 S.W.3d 812, 816-18 (Tex. Crim. App. 2015) (recognizing error but finding error to be harmless).

Article 46C.103 also permits a court to appoint the same disinterested expert to examine the defendant for both competency and insanity. If, however, the expert determines that the defendant is not competent to stand trial, the expert must stop his or her evaluation and not proceed to examine the defendant on issues regarding insanity. Once the expert concludes that the defendant is incompetent, any further questions and answers regarding the defendant’s mental state at the time of the acts leading to the criminal charges would be inherently unreliable and suspect. In such a case, the expert should file the report on incompetency, but must not file any report (or continue the examination) regarding insanity. Legislation was introduced during the 2013 session that would have required separate experts for competency and insanity in all cases, but that bill was not enacted.

Art. 46C.101. Appointment of Experts. (a) If notice of intention to raise the insanity defense is filed under Article 46C.051, the court may, on its own motion or motion by the defendant, the defendant’s counsel, or the attorney representing the state, appoint one or more disinterested experts to: (1) examine the defendant with regard to the insanity defense; and (2) testify as to the issue of insanity at any trial or hearing involving that issue. (b) The court shall advise an expert appointed under this article of the facts and circumstances of the offense with which the defendant is charged and the elements of the insanity defense.

Art. 46C.102. Experts: Qualifications. (a) The court may appoint qualified psychiatrists or psychologists as experts under this chapter. To qualify for appointment under this subchapter as an expert, a psychiatrist or psychologist must: (1) as appropriate, be a physician licensed in this state or be a psychologist licensed in this state who has a doctoral degree in psychology; and (2) have the following certification or experience or training: (A) as appropriate, certification by: (i) the American Board of Psychiatry and Neurology with added or special qualifications in forensic psychiatry; or (ii) the American Board of Professional Psychology in forensic psychology; or (B) experience or training consisting of:

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(i) at least 24 hours of specialized forensic training relating to incompetence or insanity evaluations; (ii) at least five years of experience in performing criminal forensic evaluations for courts; and (iii) eight or more hours of continuing education relating to forensic evaluations, completed in the 12 months preceding the appointment and documented with the court. (b) In addition to meeting qualifications required by Subsection (a), to be appointed as an expert a psychiatrist or psychologist must have completed six hours of required continuing education in courses in forensic psychiatry or psychology, as appropriate, in the 24 months preceding the appointment. (c) A court may appoint as an expert a psychiatrist or psychologist who does not meet the requirements of Subsections (a) and (b) only if exigent circumstances require the court to base the appointment on professional training or experience of the expert that directly provides the expert with a specialized expertise to examine the defendant that would not ordinarily be possessed by a psychiatrist or psychologist who meets the requirements of Subsections (a) and (b).

Art. 46C.103. Competency to Stand Trial: Concurrent Appointment. (a) An expert appointed under this subchapter to examine the defendant with regard to the insanity defense also may be appointed by the court to examine the defendant with regard to the defendant’s competency to stand trial under Chapter 46B, if the expert files with the court separate written reports concerning the defendant's competency to stand trial and the insanity defense. (b) Notwithstanding Subsection (a), an expert may not examine the defendant for purposes of determining the defendant’s sanity and may not file a report regarding the defendant’s sanity if in the opinion of the expert the defendant is incompetent to proceed.

Art. 46C.104. Order Compelling Defendant to Submit to Examination. (a) For the purposes described by this chapter, the court may order any defendant to submit to examination, including a defendant who is free on bail. If the defendant fails or refuses to submit to examination, the court may order the defendant to custody for examination for a reasonable period not to exceed 21 days. Custody ordered by the court under this subsection may include custody at a facility operated by the commission. (b) If a defendant who has been ordered to a facility operated by the commission for examination remains in the facility for a period that exceeds 21 days, the head of that facility shall cause the defendant to be immediately transported to the committing court and placed in the custody of the sheriff of the county in which the committing court is located. That county shall

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reimburse the facility for the mileage and per diem expenses of the personnel required to transport the defendant, calculated in accordance with the state travel rules in effect at that time. (c) The court may not order a defendant to a facility operated by the commission for examination without the consent of the head of that facility.

Art. 46C.105. Reports Submitted by Experts. (a) A written report of the examination shall be submitted to the court not later than the 30th day after the date of the order of examination. The court shall provide copies of the report to the defense counsel and the attorney representing the state. (b) The report must include a description of the procedures used in the examination and the examiner's observations and findings pertaining to the insanity defense. (c) The examiner shall submit a separate report stating the examiner’s observations and findings concerning: (1) whether the defendant is presently a person with a mental illness and requires court-ordered mental health services under Subtitle C, Title 7, Health and Safety Code; or (2) whether the defendant is presently a person with mental retardation.

Art. 46C.106. Compensation of Expert. (a) The appointed experts shall be paid by the county in which the indictment was returned or information was filed. (b) The county in which the indictment was returned or information was filed shall reimburse a facility operated by the commission that accepts a defendant for examination under this subchapter for expenses incurred that are determined by the department to be reasonably necessary and incidental to the proper examination of the defendant.

EXAMINATION BY AN EXPERT OF THE DEFENDANT’S CHOICE. Article 46C.107 provides that if a defendant wants to be examined by his or her own expert, the court must provide the expert with a reasonable opportunity to conduct the examination. Defense counsel will typically endeavor to hire one or more experts.

Art. 46C.107. Examination by Expert of Defendant’s Choice. If a defendant wishes to be examined by an expert of the defendant's own choice, the court on timely request shall provide the examiner with reasonable opportunity to examine the defendant.

DETERMINATION OF THE ISSUE OF DEFENDANT’S LEGAL SANITY. The provisions of Article 46C.151 through 46C.153 set forth rules for determination at trial of the issue of a defendant’s sanity:

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Art. 46C.151. Determination of Sanity Issue by Jury. (a) In a case tried to a jury, the issue of the defendant’s sanity shall be submitted to the jury only if the issue is supported by competent evidence. The jury shall determine the issue. (b) If the issue of the defendant's sanity is submitted to the jury, the jury shall determine and specify in the verdict whether the defendant is guilty, not guilty, or not guilty by reason of insanity.

Art. 46C.152. Determination of Sanity Issue by Judge. (a) If a jury trial is waived and if the issue is supported by competent evidence, the judge as trier of fact shall determine the issue of the defendant’s sanity. (b) The parties may, with the consent of the judge, agree to have the judge determine the issue of the defendant's sanity on the basis of introduced or stipulated competent evidence, or both. (c) If the judge determines the issue of the defendant's sanity, the judge shall enter a finding of guilty, not guilty, or not guilty by reason of insanity.

Art. 46C.153. General Provisions Relating to Determination of Sanity Issue by Judge or Jury. (a) The judge or jury shall determine that a defendant is not guilty by reason of insanity if: (1) the prosecution has established beyond a reasonable doubt that the alleged conduct constituting the offense was committed; and (2) the defense has established by a preponderance of the evidence that the defendant was insane at the time of the alleged conduct. (b) The parties may, with the consent of the judge, agree to both: (1) dismissal of the indictment or information on the ground that the defendant was insane; and (2) entry of a judgment of dismissal due to the defendant’s insanity. (c) An entry of judgment under Subsection (b)(2) has the same effect as a judgment stating that the defendant has been found not guilty by reason of insanity.

JURORS PROHIBITED FROM KNOWING CONSEQUENCES OF VERDICT. Article 46C.154 continues the prior absurd and unjust practice of prohibiting the court and the attorneys from informing a juror or prospective juror of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned:

Art. 46C.154. Informing Jury Regarding Consequences of Acquittal. The court, the attorney representing the state, or the attorney for the defendant may not inform a juror or a prospective juror of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned.

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The absurdity, and injustice, of this provision is that the jurors will probably not know about the extensive statutory provisions regarding the mandatory procedures to be followed by the court upon the acquittal of a defendant by reason of insanity, including provisions to protect the safety of the community. Indeed, jurors may thus believe – quite wrongly – that a defendant acquitted by reason of insanity is free to walk out of the courthouse at the end of the trial. That is, jurors may believe, erroneously, that they are confronted by only two options: (1) conviction of the defendant and sentencing him or her to prison in order to protect the community; or, (2) acquittal of the defendant by reason of insanity, in which case – as they often might believe – the defendant will be immediately freed at the conclusion of the trial.

It is perhaps reasonable to conclude that the Texas Legislature intended this result – that Texas jurors are to be required to function in ignorance to this extent – but it is nevertheless an unjust and unfair result, and it gives an improper advantage to the prosecution in seeking to win verdicts of guilty.

Jurors ought to know and understand that if they acquit a defendant by reason of insanity, the acquitted defendant will be under the control of the court as provided in the applicable statutory provisions requiring further evaluation of the defendant and insuring adequate protection of the community. The Texas Court of Criminal Appeals has held, however, that this provision does not deny fundamental fairness to the defendant. Robison v. State, 888 S.W. 2d 473, 477 (Tex. Crim. App. 1994), cert. denied, 515 U.S. 1162 (1995) (holding that there was no constitutional infirmity and citing Zwack v. State, 757 S.W.2d 66, 69 (Tex. App.—Houston [14th Dist.] 1988, pet. ref’d), which held the same).

The constitutionality of Article 46C.154 should be tested in the courts by relying on the authority and reasoning of the United States Supreme Court in Simmons v.

South Carolina, 512 U.S. 154, 171 (1994) and Shafer v. North Carolina, 532 U.S. 36, 51 (2001), in which the Court held that a defendant in a capital case where future dangerousness is an issue has a due process right to have the jury informed that under a life sentence there is no possibility of parole. In our view, the state should not be allowed to set up a “false dilemma” of the kind described by the Supreme Court in the Simmons case, in which jurors could believe erroneously that a defendant will be immediately released after a finding of not guilty by reason of insanity, yet at the same time the state by statute prevents the jurors from being told that such a thing cannot happen under the applicable law.

Legislation has been introduced in several legislative sessions to amend Article 46C.154 to require the jury to be informed of likely consequences of a finding of not guilty by reason of insanity. For example, unsuccessful bills filed in both 2013 and 2015 would have required courts to provide a jury instruction in substantially the following form: A jury during its deliberations must never consider or speculate concerning matters relating to the consequences of its verdict. However, because of the lack of common knowledge regarding the consequences of a verdict of “not

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guilty by reason of insanity,” I charge you that if you render this verdict there will be hearings as to the defendant’s present mental condition and, where appropriate, involuntary commitment proceedings.

It is to be hoped that comparable legislation will be enacted in the future.

Interestingly, the American Bar Association’s 2016 Criminal Justice Standards on Mental Health include the following in Standard 7-6.8: Upon motion of either party, the court may instruct the jury as to the dispositional consequences of a verdict of not guilty by reason of mental nonresponsibility [insanity].

See ABA Criminal Justice Standards on Mental Health, at 49 (Aug. 8, 2016), available at https://www.americanbar.org/content/dam/aba/publications/criminal_justice_standards/mental_health_sta ndards_2016.authcheckdam.pdf.

JUDGMENT OPTIONS. Article 46C.156 provides for the judgment options in a case in which the insanity defense is raised.

Art. 46C.156. Judgment. (a) In each case in which the insanity defense is raised, the judgment must reflect whether the defendant was found guilty, not guilty, or not guilty by reason of insanity. (b) If the defendant was found not guilty by reason of insanity, the judgment must specify the offense of which the defendant was found not guilty. (c) If the defendant was found not guilty by reason of insanity, the judgment must reflect the finding made under Article 46C.157.

ACQUITTAL THROUGH VERDICT OF NOT GUILTY BY REASON OF INSANITY. Article 46C.155 provides that, except with respect to the expunction of criminal records as governed by Chapter 55 of the Code of Criminal Procedure, a defendant who is found not guilty by reason of insanity stands acquitted of the offense charged and may not be considered a person charged with an offense.

Art. 46C.155. Findings of Not Guilty by Reason of Insanity Considered Acquittal. (a) Except as provided by Subsection (b), a defendant who is found not guilty by reason of insanity stands acquitted of the offense charged and may not be considered a person charged with an offense. (b) A defendant who is found not guilty by reason of insanity is not considered to be acquitted for purposes of Chapter 55.

INSANITY DEFENSE UNIQUE; DEFENDANT NOT AUTOMATICALLY RELEASED WHEN ACQUITTED. The insanity defense is unique among the various defenses to crime in that an acquittal by reason of insanity typically does not mean that the defendant is immediately set free. In fact, that is usually not the result of an insanity acquittal.

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All jurisdictions, including Texas, have provisions for determining whether a defendant acquitted by reason of insanity is dangerous to others and is in need of psychiatric treatment. And, all jurisdictions allow detention of the acquitted person, if necessary, to make the necessary determinations and provide the needed treatment. For example, John W. Hinckley, Jr., has remained under court supervision and was held for decades in detention in a public psychiatric hospital in Washington, D.C., following his acquittal in 1982 by reason of insanity. In Texas, these matters are governed by the provisions of Article 46C.251 through 46C.270. We turn now to an outline of those provisions.

DETERMINATION REGARDING DANGEROUS CONDUCT OF AN ACQUITTED PERSON. One of the most important determinations a court must make in this situation is whether the conduct of the defendant involved an act, attempt, or threat of serious bodily injury to another person. The answer to that critical question determines, in significant part, how the defendant’s status will be handled following his or her acquittal by reason of insanity.

Art. 46C.157. Determination Regarding Dangerous Conduct of Acquitted Person. If a defendant is found not guilty by reason of insanity, the court immediately shall determine whether the offense of which the person was acquitted involved conduct that: (1) caused serious bodily injury to another person; (2) placed another person in imminent danger of serious bodily injury; or (3) consisted of a threat of serious bodily injury to another person through the use of a deadly weapon.

CONTINUING JURISDICTION OF DANGEROUS ACQUITTED PERSON. This is one of the provisions that jurors should be made aware of prior to their deliberations during the guilt or innocence stage of a trial in which the insanity defense has been raised so that they will not be victims of a “false dilemma,” as described by the Supreme Court of the United States in Simmons v. South Carolina, 512 U.S. 154, 171 (1994); they may believe, erroneously, that the only two options under Texas law are a finding of guilt and prison time for the defendant, or a finding of not guilty by reason of insanity resulting, possibly, in the acquitted defendant’s immediate freedom. But, current jurors in Texas may not be told about this matter due to the dubious provisions of Article 46C.154. As described above, this matter should be tested in the courts as a denial of due process of law. In any event, the continuing jurisdiction rules under Article 46C.158 are set forth below. Importantly, the 2005 re-codification provided the court with greater supervisory authority under Chapter 46C over persons acquitted by reason of an NGRI finding than under prior law.

Art. 46C.158. Continuing Jurisdiction of Dangerous Acquitted Person. If the court finds that the offense of which the person was acquitted involved conduct that caused serious bodily injury to another person, placed another person in

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imminent danger of serious bodily injury, or consisted of a threat of serious bodily injury to another person through the use of a deadly weapon, the court retains jurisdiction over the acquitted person until either: (1) the court discharges the person and terminates its jurisdiction under Article 46C.268; or (2) the cumulative total period of institutionalization and outpatient or community-based treatment and supervision under the court's jurisdiction equals the maximum term provided by law for the offense of which the person was acquitted by reason of insanity and the court's jurisdiction is automatically terminated under Article 46C.269.

OPTIONS AVAILABLE REGARDING A NONDANGEROUS ACQUITTED PERSON.

Art. 46C.159. Proceedings Regarding Nondangerous Acquitted Person. If the court finds that the offense of which the person was acquitted did not involve conduct that caused serious bodily injury to another person, placed another person in imminent danger of serious bodily injury, or consisted of a threat of serious bodily injury to another person through the use of a deadly weapon, the court shall proceed under Subchapter E. DETENTION PENDING FURTHER PROCEEDINGS.

Art. 46C.160. Detention Pending Further Proceedings. (a) On a determination by the judge or jury that the defendant is not guilty by reason of insanity, pending further proceedings under this chapter, the court may order the defendant detained in jail or any other suitable place for a period not to exceed 14 days. (b) The court may order a defendant detained in a facility of the commission under this article only with the consent of the head of the facility.

DETAILS OF PROCEDURE FOLLOWING ACQUITTAL BY REASON OF INSANITY WHEN THERE WAS NO FINDING OF DANGEROUS CONDUCT. Articles 46C.201 and 46C.202 describe the procedures to be followed when there has been an acquittal by reason of insanity and there was no finding of dangerous conduct.

Art. 46C.201. Disposition: Nondangerous Conduct. (a) If the court determines that the offense of which the person was acquitted did not involve conduct that caused serious bodily injury to another person, placed another person in imminent danger of serious bodily injury, or consisted of a threat of serious bodily injury to another person through the use of a deadly weapon, the court shall determine whether there is evidence to support a finding that the person is a person with a mental illness or with mental retardation.

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(b) If the court determines that there is evidence to support a finding of mental illness or mental retardation, the court shall enter an order transferring the person to the appropriate court for civil commitment proceedings to determine whether the person should receive court-ordered mental health services under Subtitle C, Title 7, Health and Safety Code, or be committed to a residential care facility to receive mental retardation services under Subtitle D, Title 7, Health and Safety Code. The court may also order the person: (1) detained in jail or any other suitable place pending the prompt initiation and prosecution of appropriate civil proceedings by the attorney representing the state or other person designated by the court; or (2) placed in the care of a responsible person on satisfactory security being given for the acquitted person's proper care and protection.

Art. 46C.202. Detention or Release. (a) Notwithstanding Article 46C.201(b), a person placed in a commission facility pending civil hearing as described by that subsection may be detained only with the consent of the head of the facility and under an Order of Protective Custody issued under Subtitle C or D, Title 7, Health and Safety Code. (b) If the court does not detain or place the person under Article 46C.201(b), the court shall release the person.

DETAILS OF PROCEDURE AFTER ACQUITTAL BY REASON OF INSANITY WHERE THERE IS A FINDING OF DANGEROUS CONDUCT. Articles 46C.251 through 46C.270 set forth extensive details of the procedures to be followed after acquittal of a defendant by reason of insanity when there is a finding of dangerous conduct. As I observed in my more detailed article, Importantly, the revamped statute provides greater guidance to the court than under prior law with regard to the court’s ability to order mental health treatment for the acquitted individual. The statute gives the court sweeping power to order that the individual obtain inpatient hospitalization in a state facility, community-based treatment, or outpatient treatment, and the flexibility to order a step-down to an outpatient commitment after a period of inpatient treatment. This type of order would be appropriate once an acquitted person with serious mental illness has been stabilized and is not viewed as posing a threat to society. The statute authorizes the court to require a comprehensive treatment plan and gives the court authority to revoke the outpatient approach if the acquitted person fails to comply with the prescribed treatment regimen. On the whole, the re-codified statute provides substantial direction to the court in overseeing the follow-up treatment and supervision of an individual found NGRI. Brian D. Shannon, supra, at 80 (citations omitted). Then, in 2019 the Legislature made further amendments to these sections to give the Health and Human Services Commission greater discretion in determining when and whether the NGRI

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acquittee should be committed to a maximum security unit or to a non-maximum security unit.

Art. 46C.251. Commitment for Evaluation and Treatment; Report. (a) The court shall order the acquitted person to be committed for evaluation of the person's present mental condition and for treatment to the facility designated by the commission. The period of commitment under this article may not exceed 30 days. (b) The court shall order that: (1) a transcript of all medical testimony received in the criminal proceeding be prepared as soon as possible by the court reporter and the transcript be forwarded to the facility to which the acquitted person is committed; and (2) the following information be forwarded to the facility and to the commission: (A) the complete name, race, and gender of the person; (B) any known identifying number of the person, including social security number, driver's license number, or state identification number; (C) the person’s date of birth; and (D) the offense of which the person was found not guilty by reason of insanity and a statement of the facts and circumstances surrounding the alleged offense. (c) The court shall order that a report be filed with the court under Article 46C.252. (d) To determine the proper disposition of the acquitted person, the court shall hold a hearing on disposition not later than the 30th day after the date of acquittal.

Art. 46C.252. Report After Evaluation. (a) The report ordered under Article 46C.251 must be filed with the court as soon as practicable before the hearing on disposition but not later than the fourth day before that hearing. (b) The report in general terms must describe and explain the procedure, techniques, and tests used in the examination of the person. (c) The report must address: (1) whether the acquitted person has a mental illness or mental retardation and, if so, whether the mental illness or mental retardation is severe; (2) whether as a result of any severe mental illness or mental retardation the acquitted person is likely to cause serious harm to another; (3) whether as a result of any impairment the acquitted person is subject to commitment under Subtitle C or D, Title 7, Health and Safety Code; (4) prospective treatment and supervision options, if any for the acquitted person; and

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(5) whether any required treatment and supervision can be safely and effectively provided as outpatient or community-based treatment and supervision.

Art. 46C.253. Hearing on Disposition. (a) The hearing on disposition shall be conducted in the same manner as a hearing on an application for involuntary commitment under Subtitle C or D, Title 7, Health and Safety Code, except that the use of a jury is governed by Article 46C.255. (b) At the hearing, the court shall address: (1) whether the person acquitted by reason of insanity has a severe mental illness or mental retardation; (2) whether as a result of any mental illness or mental retardation the person is likely to cause serious harm to another; and (3) whether appropriate treatment and supervision for any mental illness or mental retardation rendering the person dangerous to another can be safely and effectively provided as outpatient or community-based treatment and supervision. (c) The court shall order the acquitted person committed for inpatient treatment or residential care under Article 46C.256 if the grounds required for that order are established. (d) The court shall order the acquitted person to receive outpatient or community-based treatment and supervision under Article 46C.257 if the grounds required for that order are established. (e) The court shall order the acquitted person transferred to an appropriate court for proceedings under Subtitle C or D, Title 7, Health and Safety Code, if the state fails to establish the grounds required for an order under Article 46C.256 or 46C.257 but the evidence provides a reasonable basis for believing the acquitted person is a proper subject for those proceedings. (f) The court shall order the acquitted person discharged and immediately released if the evidence fails to establish that disposition under Subsection (c), (d), or (e) is appropriate.

Art. 46C.254. Effect of Stabilization on Treatment Regimen. If an acquitted person is stabilized on a treatment regimen, including medication and other treatment modalities, rendering the person no longer likely to cause serious harm to another, inpatient treatment or residential care may be found necessary to protect the safety of others only if: (1) the person would become likely to cause serious harm to another if the person fails to follow the treatment regimen on an Order to Receive Outpatient or Community-Based Treatment and Supervision; and (2) under an Order to Receive Outpatient or Community-Based Treatment and Supervision either: (A) the person is likely to fail to comply with an available regimen of outpatient or community-based treatment, as determined by the person's

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insight into the need for medication, the number, severity, and controllability of side effects, the availability of support and treatment programs for the person from community members, and other appropriate considerations; or (B) a regimen of outpatient or community-based treatment will not be available to the person.

Art. 46C.255. Trial by Jury. (a) The following proceedings under this chapter must be before the court, and the underlying matter determined by the court, unless the acquitted person or the state requests a jury trial or the court on its own motion sets the matter for jury trial: (1) a hearing under Article 46C.253; (2) a proceeding for renewal of an order under Article 46C.261; (3) a proceeding on a request for modification or revocation of an order under Article 46C.266; and (4) a proceeding seeking discharge of an acquitted person under Article 46C.268. (b) The following proceedings may not be held before a jury: (1) a proceeding to determine outpatient or community-based treatment and supervision under Article 46C.262; or (2) a proceeding to determine modification or revocation of outpatient or community-based treatment and supervision under Article 46C.267. (c) If a hearing is held before a jury and the jury determines that the person has a mental illness or mental retardation and is likely to cause serious harm to another, the court shall determine whether inpatient treatment or residential care is necessary to protect the safety of others.

Art. 46C.256. Order of commitment to Inpatient Treatment or Residential Care. (a) The court shall order the acquitted person committed to a mental hospital or other appropriate facility for inpatient treatment or residential care if the state establishes by clear and convincing evidence that: (1) the person has a severe mental illness or mental retardation; (2) the person, as a result of that mental illness or mental retardation, is likely to cause serious bodily injury to another if the person is not provided with treatment and supervision; and (3) inpatient treatment or residential care is necessary to protect the safety of others. (b) In determining whether inpatient treatment or residential care has been proved necessary, the court shall consider whether the evidence shows both that: (1) an adequate regimen of outpatient or community-based treatment will be available to the person; and (2) the person will follow that regimen.

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(c) The order of commitment to inpatient treatment or residential care expires on the 181st day following the date the order is issued but is subject to renewal as provided by Article 46C.261.

Art. 46C.257. Order to Receive Outpatient or Community-Based Treatment and Supervision. Art. (a) The court shall order the acquitted person to receive outpatient or community-based treatment and supervision if: (1) the state establishes by clear and convincing evidence that the person: (A) has a severe mental illness or mental retardation; and (B) as a result of that mental illness or mental retardation is likely to cause serious bodily injury to another if the person is not provided with treatment and supervision; and (2) the state fails to establish by clear and convincing evidence that inpatient treatment or residential care is necessary to protect the safety of others. (b) The order of commitment to outpatient or community-based treatment and supervision expires on the first anniversary of the date the order is issued but is subject to renewal as provided by Article 46C.261.

Art. 46C.258. Responsibility of Inpatient or Residential Care Facility. (a) The head of the facility to which an acquitted person is committed has, during the commitment period, a continuing responsibility to determine: (1) whether the acquitted person continues to have a severe mental illness or mental retardation and is likely to cause serious harm to another because of any severe mental illness or mental retardation; and (2) if so, whether treatment and supervision cannot be safely and effectively provided as outpatient or community-based treatment and supervision. (b) The head of the facility must notify the committing court and seek modification of the order of commitment if the head of the facility determines that an acquitted person no longer has a severe mental illness or mental retardation, is no longer likely to cause serious harm to another, or that treatment and supervision can be safely and effectively provided as outpatient or community-based treatment and supervision. (c) Not later than the 60th day before the date of expiration of the order, the head of the facility shall transmit to the committing court a psychological evaluation of the acquitted person, a certificate of medical examination of the person, and any recommendation for further treatment of the person. The committing court shall make the documents available to the attorneys representing the state and the acquitted person.

Art. 46C.259. Status of Committed Person. If an acquitted person is committed under this subchapter, the person's status as a patient or resident is governed

by Subtitle C or D, Title 7, Health and Safety Code, except that:

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(1) transfer to a nonsecure unit is governed by Article 46C.260; (2) modification of the order to direct outpatient or community-based treatment and supervision is governed by Article 46C.262; and (3) discharge is governed by Article 46C.268.

Art. 46C.260. Transfer of Committed Person to Non-Maximum Security Facility. (a) A person committed to a facility under this subchapter shall be committed to a facility designated by the commission. (b) A person committed under this subchapter shall be transferred to the designated facility immediately on the entry of the order of commitment. (c) Unless a person committed to a maximum security unit is determined to be manifestly dangerous by a review board under this article, not later than the 60th day following the date of the person’s arrival at the maximum security unit the person shall be transferred to a non-maximum security unit of a facility designated by the commission. (d) The executive commissioner shall appoint a review board of five members, including one psychiatrist licensed to practice medicine in this state and two persons who work directly with persons with mental illnesses or with mental retardation, to determine whether the person is manifestly dangerous and, as a result of the danger the person presents, requires continued placement in a maximum security unit. (e) If the head of the facility at which the maximum security unit is located disagrees with the determination, then the matter shall be referred to the executive commissioner. The executive commissioner shall decide whether the person is manifestly dangerous.

Extensive administrative regulations further govern the review board and transfers as contemplated by the foregoing sections. See 25 Tex. Admin. Code Subchapter G, available at https://texreg.sos.state.tx.us/public/readtac$ext.ViewTAC?tac_view=5&ti=25&pt=1&ch=415 &sch=G&rl=Y (last visited June 14, 2019).

Art. 46C.261. Renewal of Orders for Inpatient Commitment or Outpatient or Community-Based Treatment and Supervision. (a) A court that orders an acquitted person committed to inpatient treatment or orders outpatient or community-based treatment and supervision annually shall determine whether to renew the order. (b) Not later than the 30th day before the date an order is scheduled to expire, the institution to which a person is committed, the person responsible for providing outpatient or community-based treatment and supervision, or the attorney representing the state may file a request that the order be renewed.

The request must explain in detail the reasons why the person requests renewal under this article. A request to renew an order committing the person to

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inpatient treatment must also explain in detail why outpatient or communitybased treatment and supervision is not appropriate. (c) The request for renewal must be accompanied by a certificate of medical examination for mental illness signed by a physician who examined the person during the 30-day period preceding the date on which the request is filed. (d) On the filing of a request for renewal under this article, the court shall: (1) set the matter for a hearing; and (2) appoint an attorney to represent the person. (e) The court shall act on the request for renewal before the order expires. (f) If a hearing is held, the person may be transferred from the facility to which the acquitted person was committed to a jail for purposes of participating in the hearing only if necessary but not earlier than 72 hours before the hearing begins. If the order is renewed, the person shall be transferred back to the facility immediately on renewal of the order. (g) If no objection is made, the court may admit into evidence the certificate of medical examination for mental illness. Admitted certificates constitute competent medical or psychiatric testimony, and the court may make its findings solely from the certificate and the detailed request for renewal. (h) A court shall renew the order only if the court finds that the party who requested the renewal has established by clear and convincing evidence that continued mandatory supervision and treatment are appropriate. A renewed order authorizes continued inpatient commitment or outpatient or communitybased treatment and supervision for not more than one year. (i) The court, on application for renewal of an order for inpatient or residential care services, may modify the order to provide for outpatient or communitybased treatment and supervision if the court finds the acquitted person has established by a preponderance of the evidence that treatment and supervision can be safely and effectively provided as outpatient or community-based treatment and supervision.

For a case involving the procedures required by Article 46C.261 for renewals, consider In re Mental Health & Mental Retardation Auth. of Harris County, 0112-00564-CR, 2012 WL 5878006, at *2 (Tex. App.—Houston [1st Dist.] 2012, no pet.) (unpublished) (denying mandamus relief to Harris County MHMRA). The community mental health authority, Harris County MHMRA, had been providing community-based services to an NGRI acquittee under a court order for outpatient services. The order was renewed a day before the prior order would have expired, following a hearing in the preceding two days. Id. Harris County MHMRA had objected because no party had timely filed a request for renewal under Article 46C.261(b). The court ordered renewal, and Harris County MHMRA’s later mandamus action was denied by the court of appeals, having found no abuse of discretion by the trial court.

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For renewals of inpatient commitment, the statutory standards must, of course, be satisfied. For an interesting opinion on this issue, consider Harrison v.

State, 09-14-00099-CV, 2014 Tex. App. LEXIS 11899 (Tex. App. – Beaumont 2014). Harrison had been found NGRI in the death of his mother in 1994. The trial court had annually renewed Harrison’s inpatient commitments. However, Harrison successfully challenged the 2014 renewal, contending that outpatient commitment was appropriate. Applying the former law (given that Harrison had been convicted in 1994), the court of appeals determined that there was insufficient evidence “to support the trial court’s finding that outpatient supervision … [was] not appropriate for Harrison.” Id. at *23. In a later, related opinion, the Beaumont Court of Appeals also determined that the Beaumont trial court had erred when it ordered an outpatient commitment in Houston because Houston MHMRA was “not within the region in which the committing court is located and the trial court did not obtain MHMRA’s consent before designating it ….” Mental Health Mental Retardation Auth. v. Harrison, No. 09-15-00235-CV, 2015 Tex. App. Lexis 11101, *11 (Tex. App. – Beaumont 2015) (applying former law given that the homicide had occurred in 1994). For the current statutory provisions relating to such orders, including the requirement for consent by the services provider, see Article 46C.264 below.

In addition, under the former law, renewal hearings were conducted under the Texas Mental Health Code’s provisions for extended civil commitments, and the court could not make its findings based solely from the certificates of medical examination. See Martin v. State, No. 14-14-00730-CV, 2015 Tex. App. LEXIS 9973, at *6 (Tex. App. – Houston [14th Dist.] 2015, no pet.) (applying former law to a renewal hearing of an NGRI acquittee whose trial took place in 2002, and requiring findings supported by competent medical or psychiatric testimony taken at the hearing per Tex. Health & Safety Code § 574.035(g)).

In contrast, for cases taking place after the 2005 enactment of Chapter 46C, Article 46C.261(g) allows trial courts to make findings based solely on the recent certificate of medical examination provided “no objection is made” to its admission. For another case applying the former law’s provisions, see In re L.A.T., No. 05-15-00043-CV, 2015 Tex. App. LEXIS 8030 (Tex. App. – Dallas 2015, no pet.) (reversing trial court’s order renewing outpatient treatment order where the state’s sole witness, a psychiatrist, testified that the acquittee had a diagnosis of schizoaffective disorder, but was asymptomatic). Finally, consider Truong v. State, __ S.W.3d __, No. 01-16-00390-CR, 2019 Tex. App. LEXIS 1517 (Tex. App. – Houston [1st Dist.] 2019, no pet.) (finding an insufficiency of evidence challenge to a May 2016 recommitment order to be moot when the trial court had entered another recommitment order in May 2017 based on new evidence, followed by another recommitment order following an additional hearing in May 2018; the court reasoned that given the further hearings and orders, Article 46C.270(c)’s provision that an appeal “may not be considered moot solely due to the expiration of an order on which the appeal is based” was not controlling).

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Art. 46C.262. Court-Ordered Outpatient or Community-Based Treatment and Supervision after Inpatient Commitment. (a) An acquitted person, the head of the facility to which the acquitted person is committed, or the attorney representing the state may request that the court modify an order for inpatient treatment or residential care to order outpatient or community-based treatment and supervision. (b) The court shall hold a hearing on a request made by the head of the facility to which the acquitted person is committed. A hearing under this subsection must be held not later than the 14th day after the date of the request. (c) If a request is made by an acquitted person or the attorney representing the state, the court must act on the request not later than the 14th day after the date of the request. A hearing under this subsection is at the discretion of the court, except that the court shall hold a hearing if the request and any accompanying material provide a basis for believing modification of the order may be appropriate. (d) If a request is made by an acquitted person not later Than the 90th day after the date of a hearing on a previous request, the court is not required to act on the request except on the expiration of the order or on the expiration of the 90day period following the date of the hearing on the previous request. (e) The court shall rule on the request during or as soon as practicable after any hearing on the request but not later than the 14th day after the date of the request. (f) The court shall modify the commitment order to direct outpatient or community-based treatment and supervision if at the hearing the acquitted person establishes by a preponderance of the evidence that treatment and supervision can be safely and effectively provided as outpatient or communitybased treatment and supervision.

Art. 46C.263. Court-Ordered Outpatient or Community-Based Treatment and Supervision. (a) The court may order an acquitted person to participate in an outpatient or community-based regimen of treatment and supervision: (1) as an initial matter under Article 46C.253; (2) on renewal of an order of commitment under Article 46C.261; or (3) after a period of inpatient treatment or residential care under Article 46C.262. (b) An acquitted person may be ordered to participate in an outpatient or community-based regimen of treatment and supervision only if: (1) the court receives and approves an outpatient or community-based treatment plan that comprehensively provides for or community-based treatment and supervision; and

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(2) the court finds that the outpatient or community-based treatment and supervision provided for by the plan will be available to and provided to the acquitted person. (c) The order may require the person to participate in a prescribed regimen of medical, psychiatric, or psychological care or treatment, and the regimen may include treatment with psychoactive medication. (d) The court may order that supervision of the acquitted person be provided by the appropriate community supervision and corrections department or the facility administrator of a community center that provides mental health or mental retardation services. (e) The court may order the acquitted person to participate in a supervision program funded by the Texas Correctional Office on Offenders with Medical or Mental Impairments. (f) An order under this article must identify the person responsible for administering an ordered regimen of outpatient or community-based treatment and supervision. (g) In determining whether an acquitted person should be ordered to receive outpatient or community-based treatment and supervision rather than inpatient care or residential treatment, the court shall have as its primary concern the protection of society.

Art. 46C.264. Location of Court-Ordered Outpatient or Community-Based Treatment and Supervision. (a) The court may order the outpatient or community-based treatment and supervision to be provided in any appropriate county where the necessary resources are available. (b) This article does not supersede any requirement under the other provisions of this subchapter to obtain the consent of a treatment and supervision provider to administer the court-ordered outpatient or community-based treatment and supervision.

Art. 46C.265. Supervisory Responsibility for Outpatient or Community-Based Treatment and Supervision. (a) The person responsible for administering a regimen of outpatient or community-based treatment and supervision shall: (1) monitor the condition of the acquitted person; and (2) determine whether the acquitted person is complying with the regimen of treatment and supervision. (b) The person responsible for administering a regimen of outpatient or community-based treatment and supervision shall notify the court ordering that treatment and supervision and the attorney representing the state if the person: (1) fails to comply with the regimen; and (2) becomes likely to cause serious harm to another.

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Art. 46C.266. Modification or Revocation of Order for Outpatient or Community-Based Treatment and Supervision. (a) The court, on its own motion or the motion of any interested person and after notice to the acquitted person and a hearing, may modify or revoke court-ordered outpatient or communitybased treatment and supervision. (b) At the hearing, the court without a jury shall determine whether the state has established clear and convincing evidence that: (1) the acquitted person failed to comply with the regimen in a manner or under circumstances indicating the person will become likely to cause serious harm to another if the person is provided continued outpatient or communitybased treatment and supervision; or (2) the acquitted person has become likely to cause serious harm to another if provided continued outpatient or community-based treatment and supervision. (c) On a determination under Subsection (b), the court may take any appropriate action, including: (1) revoking court-ordered outpatient or community-based treatment and supervision and ordering the person committed for inpatient or residential care; or (2) imposing additional or more stringent terms on continued outpatient or community-based treatment. (d) An acquitted person who is the subject of a proceeding under this article is entitled to representation by counsel in the proceeding. (e) The court shall set a date for a hearing under this article that is not later than the seventh day after the applicable motion was filed. The court may grant one or more continuances of the hearing on the motion of a party or of the court and for good cause shown.

Art. 46C.267. Detention Pending Proceedings to Modify or Revoke Order for Outpatient or Community-Based Treatment and Supervision. (a) The state or the head of the facility or other person responsible for administering a regimen of outpatient or community-based treatment and supervision may file a sworn application with the court for the detention of an acquitted person receiving court-ordered outpatient or community-based treatment and supervision. The application must state that the person meets the criteria of Article 46C.266 and provide a detailed explanation of that statement. (b) If the court determines that the application establishes probable cause to believe the order for outpatient or community-based treatment and supervision should be revoked, the court shall issue an order to an on-duty peace officer authorizing the acquitted person to be taken into custody and brought before the court.

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(c) An acquitted person taken into custody under an order of detention shall be brought before the court without unnecessary delay. (d) When an acquitted person is brought before the court, the court shall determine whether there is probable cause to believe that the order for outpatient or community-based treatment and supervision should be revoked.

On a finding that probable cause for revocation exists, the court shall order the person held in protective custody pending a determination of whether the order should be revoked. (e) An acquitted person may be detained under an order for protective custody for a period not to exceed 72 hours, excluding Saturdays, Sundays, legal holidays, and the period prescribed by Section 574.025(b), Health and Safety Code, for an extreme emergency. (f) This subchapter does not affect the power of a peace officer to take an acquitted person into custody under Section 573.001, Health and Safety Code.

Art. 46C.268. Advance Discharge of Acquitted Person and Termination of Jurisdiction. (a) An acquitted person, the head of the facility to which the acquitted person is committed, the person responsible for providing the outpatient or community-based treatment and supervision, or the state may request that the court discharge an acquitted person from inpatient commitment or outpatient or community-based treatment and supervision. (b) Not later than the 14th day after the date of the request, the court shall hold a hearing on a request made by the head of the facility to which the acquitted person is committed or the person responsible for providing the outpatient or community-based treatment and supervision. (c) If a request is made by an acquitted person, the court must act on the request not later than the 14th day after the date of the request. A hearing under this subsection is at the discretion of the court, except that the court shall hold a hearing if the request and any accompanying material indicate that modification of the order may be appropriate. (d) If a request is made by an acquitted person not later than the 90th day after the date of a hearing on a previous request, the court is not required to act on the request except on the expiration of the order or on the expiration of the 90day period following the date of the hearing on the previous request. (e) The court shall rule on the request during or shortly after any hearing that is held and in any case not later than the 14th day after the date of the request. (f) The court shall discharge the acquitted person from all court-ordered commitment and treatment and supervision and terminate the court’s jurisdiction over the person if the court finds that the acquitted person has established by a preponderance of the evidence that: (1) the acquitted person does not have a severe mental illness or mental retardation; or

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(2) the acquitted person is not likely to cause serious harm to another because of any severe mental illness or mental retardation.

Art. 46C.269. Termination of Court’s Jurisdiction. (a) The jurisdiction of the court over a person covered by this subchapter automatically terminates on the date when the cumulative total period of institutionalization and outpatient or community-based treatment and supervision imposed under this subchapter equals the maximum term of imprisonment provided by law for the offense of which the person was acquitted by reason of insanity. (b) On the termination of the court's jurisdiction under this article, the person must be discharged from any inpatient treatment or residential care or outpatient or community-based treatment and supervision ordered under this subchapter. (c) An inpatient or residential care facility to which a person has been committed under this subchapter or a person responsible for administering a regimen of outpatient or community-based treatment and supervision under this subchapter must notify the court not later than the 30th day before the court’s jurisdiction over the person ends under this article. (d) This subchapter does not affect whether a person may be ordered to receive care or treatment under Subtitle C or D, Title 7, Health and Safety Code.

Art. 46C.270. Appeals. (a) An acquitted person may appeal a judgment reflecting an acquittal by reason of insanity on the basis of the following: (1) a finding that the acquitted person committed the offense; or (2) a finding that the offense on which the prosecution was based involved conduct that: (A) caused serious bodily injury to another person; (B) placed another person in imminent danger of serious bodily injury; or (C) consisted of a threat of serious bodily injury to another person through the use of a deadly weapon. (b) Either the acquitted person or the state may appeal from: (1) an Order of Commitment to Inpatient Treatment or Residential Care entered under Article 46C.256; (2) an Order to Receive Outpatient or Community-Based Treatment and Supervision entered under Article 46C.257 or 46C.262; (3) an order renewing or refusing to renew an Order for Inpatient Commitment or Outpatient or Community-Based Treatment and Supervision entered under Article 46C.261; (4) an order modifying or revoking an Order for Outpatient or CommunityBased Treatment and Supervision entered under Article 46C.266 or refusing a request to modify or revoke that order; or

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(5) an order discharging an acquitted person under Article 46C.268 or denying a request for discharge of an acquitted person. (c) An appeal under this subchapter may not be considered moot solely due to the expiration of an order on which the appeal is based.

COLLECTION AND MAINTENANCE OF DATA REGARDING PERSONS ACQUITTED BY REASON OF INSANITY. Section 533.0095 of the Texas Health & Safety Code provides for the collection and maintenance of data concerning persons who are acquitted by reason of insanity. This statute was added as part of the 2005 re-codification of Chapter 46C, and it was the subject of minor technical amendments in 2015. It also directs the Health and Human Services Commission to provide an annual report to the legislature that both identifies NGRI acquittees and provides information about their civil commitments.

Sec. 533.0095, Texas Health & Safety Code. Collection and Maintenance of Information Regarding Persons Found Not Guilty by Reason of Insanity. (a) The executive commissioner by rule shall require the department to collect information and maintain current records regarding a person found not guilty of an offense by reason of insanity under Chapter 46C, Code of Criminal Procedure, who is: (1) ordered by a court to receive inpatient mental health services under Chapter 574 or under Chapter 46C, Code of Criminal Procedure; or (2) ordered by a court to receive outpatient or community-based treatment and supervision. (b) Information maintained by the department under this section must include the name and address of any facility to which the person is committed, the length of the person’s commitment to the facility, and any post-release outcome. (c) The department shall file annually with the presiding officer of each house of the legislature a written report containing the name of each person described

by Subsection (a), the name and address of any facility to which the person is committed, the length of the person’s commitment to the facility, and any postrelease outcome.

RESTRICTIONS ON THE ADMINISTRATION OF PSYCHOACTIVE MEDICATION. Section 576.025 of the Texas Health & Safety Code sets forth restrictions on administering psychoactive medication to a patient receiving either voluntary or involuntary mental health services who refuses the prescribed medication. It cross-references provisions relating to the procedures for court-ordered administration of medication which were discussed, supra, in Subchapter IV-A relating to competency.

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Sec. 576.025, Texas Health & Safety Code. (a) A person may not administer a psychoactive medication to a patient receiving voluntary or involuntary mental health services who refuses the administration unless: (1) the patient is having a medication-related emergency; (2) the patient is younger than 16 years of age and the patient’s parent, managing conservator, or guardian consents to the administration on behalf of the patient; (3) the refusing patient's representative authorized by law to consent on behalf of the patient has consented to the administration; (4) the administration of the medication regardless of the patient’s refusal is authorized by an order issued under Section 574.106; or (5) the patient is receiving court-ordered mental health services authorized by an order issued under: (A) Chapter 46B or 46C Code of Criminal Procedure; or (B) Chapter 55, Family Code.

MAXIMUM PERIOD OF COMMITMENT CANNOT EXCEED MAXIMUM TERM PROVIDED BY LAW FOR CRIME. Article 46C.002 provides that a person acquitted by reason of insanity cannot be committed either to a state hospital or other inpatient or residential facility under Subchapter F for a cumulative period of time that exceeds the maximum term provided by law for the crime for which the acquitted person was tried. Upon the expiration of that maximum term, only through civil commitment proceedings can the person be further confined in a state hospital or other inpatient or residential care facility or ordered to receive outpatient or community-based treatment and supervision.

Art. 46C.002. Maximum Period of Commitment Determined by Maximum Term for Offense. (a) A person acquitted by reason of insanity may not be committed to a mental hospital or other inpatient or residential care facility or ordered to receive outpatient or community-based treatment and supervision under Subchapter F for a cumulative period that exceeds the maximum term provided by law for the offense for which the acquitted person was tried. (b) On expiration of that maximum term, the acquitted person may be further confined in a mental hospital or other inpatient or residential care facility or ordered to receive outpatient or community-based treatment and supervision only under civil commitment proceedings.

CONCLUSION. The provisions of the applicable law discussed above regarding the insanity defense in Texas are designed to protect both the public and the individual who has been acquitted by reason of insanity by requiring an immediate and appropriate evaluation of the individual following his or her acquittal.

As these provisions clearly delineate, a distinction is made between those acquitted defendants whose conduct did not involve an act, attempt, or threat of

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serious bodily injury to another person, and those acquitted defendants whose conduct did involve such an act, attempt, or threat. Appropriate processing is provided for persons in both categories, and the goal is to provide whatever appropriate treatment is needed by the acquitted person, as determined by a careful evaluation of his or her individual condition, and at the same time to protect the general public. Amendments in 2019 granted greater discretion to the Health and Human Services Commission to make determinations about the proper facility for the NGRI acquittee’s placement for evaluation and treatment. See Articles 46C.251(a) and 46C.260. In addition, the 2005 re-codification of old Article 46.03 into Chapter 46C provided the courts with much greater supervisory authority over the civil commitments for those few individuals who are determined to be NGRI. Now that Chapter 46C has been in place for almost fifteen years, some further legislative fine-tuning is warranted. Although 2019 legislation has given greater discretion to the Health and Human Services Commission to determine the appropriate facility for placing an NGRI acquittee, other gaps remain. We have already noted above the unfortunate, and likely unintentional, differences in the qualifications for experts under this Chapter as opposed to those required under Chapter 46B. In addition, there are a few other gaps. Legislation was introduced during the 2013 legislative session that would have made a number of amendments to Chapter 46C. These included authorizing a treatment provider to be able to appeal trial court orders for services under the Chapter, more specific provisions regarding the responsibilities of a community-based treatment provider, a directive to courts to order an NGRI acquittee into the least restrictive treatment setting as appropriate, a provision authorizing an NGRI acquittee to waive attendance at certain hearings or to participate via videoconference or teleconference, and to prescribe certain delineated duties for an attorney representing a defendant in a criminal trial involving the insanity defense. See H.B. 3774, 83rd Tex. Leg., Reg. Session (2013).

Although the bill included many thoughtful improvements to Chapter 46C, it was never set for a hearing during the 2013 legislative session, and nothing similar has been enacted to date.

DIMINISHED CAPACITY. The only affirmative defense under Texas law relating to mental illness or impaired mental capacity is the statutorily prescribed insanity defense. There is no statutory, separate affirmative defense of “diminished capacity” or “diminished responsibility.” The Texas courts, however, nonetheless permit the introduction of relevant evidence to negate the mens rea element of a charged crime – and this includes the ability to introduce evidence of an accused’s history of mental illness. The Texas Court of Criminal Appeals so held in Jackson v.

State, 160 S.W.3d 568, 574 (Tex. Crim. App. 2005). In Jackson the court relied, in part, on the trial judge’s discretion in a murder case under Article 38.36(a), Texas Code of Criminal Procedure, to admit all relevant facts and circumstances showing the condition of the accused’s mind at the time of the offense, subject to objections under Texas Rule of Evidence 403. Id. The Court of Criminal Appeals re-affirmed its holding in Jackson in its 2008 decision in Ruffin v. State, 270 S.W.3d 586, 596-97 (Tex. Crim. App. 2008) (ruling

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that the holding in Jackson is not limited to murder prosecutions). In Ruffin, the defendant was charged with first degree aggravated assault for shooting at ten police officers. Id. at 587. As part of his defense, “[h]e contended that he was suffering from severe delusions and believed he was shooting at Muslims, not police officers. He intended to shoot, but not at a public servant.” Id. The trial court disallowed testimony from a psychologist about the defendant’s mental illness and delusions.

The Court of Criminal Appeals reversed the conviction, reasoning that the evidence was clearly relevant with regard to the element of mens rea (i.e., whether he intended to shoot at police officers “or whether, because of a mental disease and the delusions that he suffered as a result of that disease, he believed that he was shooting at Muslims or some other figment of his mind”). Id. at 596. For a thoughtful discussion of Jackson, Ruffin, and diminished capacity in Texas, see Patrick S. Metze, Death and Texas: The Unevolved Model of Decency, 90 Neb. L. Rev. 240, 251-57 (2011).

In Ruffin, the Court of Criminal Appeals indicated that there could be limits on the admissibility of such mental state evidence: Of course, such evidence may, in a particular case, be excluded under other evidentiary rules, such as Rules 403 or 703-705, if the probative value of the proffered evidence is substantially outweighed by the danger of unfair prejudice, if the expert is insufficiently qualified, or if the testimony is insufficiently relevant or reliable …. Such evidence may also be excluded if it does not truly negate the required mens rea.

Ruffin, 270 S.W.3d, at 595-96. On remand in Ruffin, the Waco Court of Appeals conducted a Rule 403 assessment to weigh the probative versus prejudicial value of the proffered mental state testimony. Ruffin v. State, 2009 Tex. App. LEXIS 7485 (Tex. App. – Waco 2009) (unpublished). The court of appeals determined that the testimony of the psychologist “would place the evidence of Ruffin’s mental state in the proper context and allow the jury to properly evaluate the probative force of the evidence. The evidence goes to the heart of the main issue in the case: whether Ruffin committed the charged offense.” Id. at *8.

Several cases decided since Ruffin are worthy of consideration and reveal that the diminished capacity theory is quite narrow. In Mays v. State, 318 S.W.3d 368 (2010), cert. denied, 562 U.S. 1274 (2011), the defendant was convicted of capital murder for the shooting death of a sheriff’s deputy. On appeal, the defendant urged that the trial court had erred in not providing a jury instruction to the effect that evidence of mental illness could be considered in determining whether the defendant had acted intentionally or knowingly. Id. at 380. The defendant argued that his mental illness kept him from knowingly or intentionally killing at the time he pulled the trigger. Id. In distinguishing the facts from Ruffin, the court determined that his “mental-illness evidence explained his actions and demonstrated his motive for killing the deputies – paranoia, suspicion, and distrust of the officers. It did not rebut the culpable mental state of ‘intentional or knowing’ conduct ….” Id. at 380-81.

Instead, the testimony showed that after shooting the first victim, the defendant

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“shouted, ‘I got one. Where’s the other one?’ before he shot another deputy in the head.” Id. at 380.

The Tyler Court of Appeals followed Mays in Zorn v. State, 315 S.W.3d 616, 625 (Tex. App. – Tyler 2010, no pet.). In Zorn, the defendant was convicted of manslaughter after striking a pedestrian with her car while driving with a blood alcohol level of 0.20. Id. at 619. Relying on Ruffin, the defense proffered evidence that the defendant “was paranoid, that she is ‘different’ when she is out of her comfort zone, and that she had stress in her life at the time of the wreck.” Id. at 624. The court reasoned that this testimony was not directly “germane to the question of whether Appellant understood the risk she created. Her testimony is not that Appellant suffered from a delusion that caused her to fail to apprehend that she was driving or intoxicated … [nor did it] show or tend to show that Appellant could not understand the risks her actions created.” Id. at 625. Although her lowered ability to navigate stressful situations might have explained why she was drinking or why she was in a hurry, it did not negate the mens rea of recklessness “or to show that she could not appreciate the risk her conduct created.” Id. In Woods v. State, 306 S.W.3d 905, 906 (Tex. App. – Beaumont 2010, no pet.), the defendant was convicted of aggravated assault of a public servant and for use of a motor vehicle as a deadly weapon. After clocking Woods driving 111 m.p.h. in a 65m.p.h. zone, a trooper and several deputies pursued Woods’ vehicle. Eventually, Woods’ car struck one of the deputy’s patrol car several times and injured the deputy.

Id. at 907. At trial, the court sustained objections to Woods’ proffer of certain evidence of mental illness. Lay evidence was allowed to show that she was on medication, that she was very depressed the day before the events in question, that she was behaving erratically, that she was unclothed at the time of the arrest, and that she behaved strangely after the collision, on the way to jail, and at her “book-in at the jail.” Id. at 909. The trial court, however, excluded testimony of a social worker who had seen Woods three days before, had observed that Woods was very manic and psychotic, and had recommended her hospitalization. Id. Although the court of appeals grudgingly acknowledged that these facts tended “to make it slightly more probable that Woods was suffering from some sort of mental illness three days earlier,” there was no “causal link between her mental illness and the conduct at the time of the offense.” Id. The court concluded that the excluded evidence was not as probative on the issue of intent as was the excluded psychologist’s testimony in Ruffin. The court reasoned that even assuming Woods was in a psychotic state when she hit the deputy’s vehicle, the excluded evidence did not explain why her psychotic state affected her ability to perceive that the victim was a public servant or that she was so delusional she was unaware she was crashing into his vehicle. Id. Finally, consider Davis v. State, 313 S.W.3d 317 (Tex. Crim. App. – 2010), in which Davis was convicted of capital murder. At trial, the defense attempted to introduce psychiatric testimony about his substance abuse and the effect it had on him. Id. at 327. “He sought to use this testimony to negate the mens rea of the underlying offense of burglary.” Id. On appeal, the defense contended that the proffered psychiatric testimony would have shown that the defendant “did not

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intentionally commit burglary because he believed that he had permission to be in” the victim’s apartment. Id. at 328. But, at trial, defense counsel had contended that the psychiatrist’s testimony would have dealt with an inability to form intent because of the effects of cocaine and crack cocaine use. Because the testimony related to effects from drug abuse, the trial court excluded the evidence. Id. The Court of Criminal Appeals affirmed and distinguished the case from Ruffin. In contrast to mental illness evidence that is potentially admissible to negate mens rea, the court reasoned that drug abuse evidence is governed by Texas Penal Code § 8.04(a), which precludes voluntary intoxication from being a defense. Following Ramos v. State, 547 S.W.2d 33, 33-34 (Tex. Crim. App. 1977), the Davis court determined that the voluntary intoxication statute prohibits “any attempt to use intoxication to rebut or disprove a defendant’s mens rea.” Davis, 313 S.W.3d at 328-29.

B. JUVENILES INSANITY DEFENSE FOR JUVENILES. Because different statutory provisions govern alleged criminal offenses committed by juveniles, it is appropriate to review the insanity defense applicable to juveniles, as set forth in Section 55.51 of the Texas Family Code.

The insanity defense for juveniles in Texas is not designated as an “insanity defense” in the Family Code. Instead, Section 55.51, containing the provisions for the defense, is entitled “Lack of Responsibility for Conduct as a Result of Mental Illness or Intellectual Disability,” and Section 55.51 provides not only the elements of the defense itself but also some of the procedural steps to be followed in determining the

issues involved.

Sec. 55.51. LACK OF RESPONSIBILITY FOR CONDUCT AS A RESULT OF MENTAL ILLNESS OR INTELLECTUAL DISABILITY. (a) A child alleged by petition to have engaged in delinquent conduct or conduct indicating a need for supervision is not responsible for the conduct if at the time of the conduct, as a result of mental illness or an intellectual disability, the child lacks substantial capacity either to appreciate the wrongfulness of the child’s conduct or to conform the child’s conduct to the requirements of law. (b) On a motion by a party in which it is alleged that a child may not be responsible as a result of mental illness or an intellectual disability for the child’s conduct, the court shall order the child to be examined under Section 51.20. The information obtained from the examinations must include expert opinion as to whether the child is not responsible for the child’s conduct as a result of mental illness or an intellectual disability. (c) The issue of whether the child is not responsible for the child’s conduct as a result of mental illness or an intellectual disability shall be tried to the court or jury in the adjudication hearing. (d) Lack of responsibility for conduct as a result of mental illness or an intellectual disability must be proved by a preponderance of the evidence.

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(e) In its findings or verdict the court or jury must state whether the child is not responsible for the child’s conduct as a result of mental illness or an intellectual disability. (f) If the court or jury finds the child is not responsible for the child’s conduct as a result of mental illness or an intellectual disability, the court shall proceed under Section 55.52. (g) A child found to be not responsible for the child’s conduct as a result of mental illness or an intellectual disability shall not be subject to proceedings under this title with respect to such conduct, other than proceedings under Section 55.52.

DIFFERENT FROM THE INSANITY DEFENSE FOR ADULTS IN THE TEXAS PENAL CODE. Section 55.51 of the Texas Family Code makes available to juveniles the kind of insanity defense that Texas formerly provided for adults from 1974 to 1983 (when the insanity test was “reformed” by being changed back to the old nineteenth century M’Naghten “right-wrong” test which, as described above, is narrowly based on a defendant’s cognitive capacity).

Basically, the Texas formulation of the juvenile insanity defense is consistent with the insanity test developed by the American Law Institute (ALI) in its 1962 Model Penal Code, as slightly modified and updated. Thus, it differs from, and in this author’s view is better than, the inadequate insanity defense for adults provided by Section 8.01 of the Texas Penal Code.

ELEMENTS OF THE TEST. The Family Code insanity test for juveniles in Section 55.51 provides that a child (a person who is ten years of age or older and under 17 years of age) is not responsible for delinquent conduct or conduct indicating a need for supervision if at the time of the conduct, as a result of mental illness or an intellectual disability, he or she lacks substantial capacity either (1) to appreciate the wrongfulness of his or her conduct, or (2) to conform his or her conduct to the requirements of the law.

VOLITIONAL ELEMENT RETAINED; INTELLECTUAL DISABILITY INCLUDED. The volitional element has been retained in the Family Code’s insanity defense (unlike in the Texas Penal Code applicable to adults from which it has been eliminated).

Also, under the Family Code’s insanity test for juveniles, the legislature has amended and modernized the statute’s original language to incorporate the terms “mental illness” and “intellectual disability” as the bases for a finding of lack of responsibility, unlike under the Texas Penal Code’s insanity test for adults, which still uses the antiquated phrase “severe mental disease or defect.” In fact, the legislature again updated this section in 2015 to replace the term “mental retardation” with “intellectual disability.”

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This contrast between the Texas Family Code and Texas Penal Code results in an anomalous situation in our state – a juvenile defendant will enjoy the benefit of an appropriate, modern insanity test, while an adult defendant has available only the inadequate, old nineteenth century M’Naghten “right-wrong” test with all of its deficiencies discussed previously.

In addition, it appears that a juvenile offender whose case is transferred to a criminal court (under the provisions of Section 54.02 of the Texas Family Code) will lose the substantial protections of the Family Code insanity test and be relegated to the inadequate old nineteenth century M’Naghten test set forth in the Penal Code.

It is fortunate indeed, of course, that the Texas Family Code has retained the better test, but it is to be hoped that the Texas Legislature will one day restore the volitional element of that test to the Texas Penal Code, so that the adult insanity defense will again be the same one that was originally contained in the 1973 version of the Texas Penal Code. Other possible alternatives are discussed in Subchapter C of this Chapter. Moreover, even for the cognitive prong of the juvenile test, the legislature has used the word “appreciate” rather than “know,” which potentially provides for a broader degree of expert testimony regarding the individual’s cognitive abilities at the time of the acts charged.

DISPOSITION FOLLOWING ACQUITTAL BY REASON OF INSANITY (LACK OF RESPONSIBILITY FOR CONDUCT). As in the case of adult criminal defendants, a lawyer’s success in employing the insanity defense does not necessarily mean that the juvenile defendant will or should be immediately set free. The Family Code contains provisions for determining whether a juvenile defendant acquitted by reason of insanity (found to be not responsible for his or her conduct) is in need of psychiatric treatment.

Sec. 55.52. PROCEEDINGS FOLLOWING FINDING OF LACK OF RESPONSIBILITY FOR CONDUCT. (a) If the court or jury finds that a child is not responsible for the child’s conduct under Section 55.51, the court shall: (1) if the lack of responsibility is a result of mental illness or an intellectual disability: (A) provided that the child meets the commitment criteria under Subtitle C or D, Title 7, Health and Safety Code, order the child placed with the Department of State Health Services or the Department of Aging and Disability Services, as appropriate, for a period of not more than 90 days, which order may not specify a shorter period, for placement in a facility designated by the department; or (B) on application by the child’s parent, guardian, or guardian ad litem, order the child placed in a private psychiatric inpatient facility for a period of not more than 90 days, which order may not specify a shorter period, but only if the placement is agreed to in writing by the administrator of the facility; or

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(2) if the child’s lack of responsibility is a result of mental illness and the court determines that the child may be adequately treated in an alternative setting, order the child to receive treatment on an outpatient basis for a period of not more than 90 days, which order may not specify a shorter period. (b) If the court orders a child placed in a private psychiatric inpatient facility under Subsection (a)(1)(B), the state or a political subdivision of the state may be ordered to pay any costs associated with the child=s placement, subject to an express appropriation of funds for the purpose.

INFORMATION TO BE PROVIDED TO FACILITY; REPORT TO THE COURT. If the juvenile court issues a placement order under Section 55.52(a), then Section 55.54(a) of the Family Code requires the juvenile court to order the probation department to send copies of any information in the possession of the department and relevant to the issue of the child’s mental illness or intellectual disability, to the public or private facility or outpatient center, as appropriate.

Section 55.54(b) of the Family Code requires that not later than the 75th day after the date the court issues a placement order under Section 55.52(a), the public or private facility or outpatient center, as appropriate, must submit to the court a report that (1) describes the child’s treatment provided by the facility or center, and (2) states the opinion of the director of the facility or center as to whether the child has a mental illness or an intellectual disability. The court must send a copy of the report to the prosecuting attorney and the attorney for the child.

REPORT THAT CHILD DOES NOT HAVE A MENTAL ILLNESS OR AN INTELLECTUAL DISABILITY. Under the provisions of Section 55.55 of the Family Code, if a report submitted under Section 55.54(b) states that a child does not have a mental illness or an intellectual disability, then the juvenile court must discharge the child unless: (1) an adjudication hearing was conducted concerning the child’s conduct that included a violation of a penal law listed in Section 53.045(a) of the Family Code and a petition was approved by a grand jury under Section 53.045; and (2) the prosecuting attorney objects in writing not later than the second day after the date the attorney receives a copy of the report under Section 55.54(c).

Section 53.045 of the Family Code, referred to above, relates to so-called habitual (delinquent) felony conduct and cross-references the Texas Penal Code in listing a variety of serious offenses, including capital murder, murder, aggravated sexual assault, sexual assault, aggravated kidnapping, and aggravated robbery, among other offenses.

The language about a “petition” being “approved” by a grand jury under Section 53.045, of the Family Code, referred to above, means the procedure by which a petition alleging delinquent conduct can be referred by the prosecuting attorney to the grand jury if the petition alleges that the child engaged in delinquent conduct that constitutes habitual felony conduct or that included violation of any of the

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offenses listed in Section 53.045. Under the provisions of Section 53.045(b), a grand jury may “approve” the petition by a vote of nine members of the grand jury, in the same manner that the grand jury votes on the presentment of an indictment.

The significance of “approval” of the petition is that if the court or jury finds that the child engaged in delinquent conduct that included violation of one or more of the offenses listed in Section 53.045, and if the petition was “approved” by the grand jury, then under the provisions of Section 54.04(d)(3), the court may sentence the child to commitment in the Texas Juvenile Justice Department with a possible transfer to the Texas Department of Criminal Justice for a term of up to 40 years, depending upon the seriousness of the crimes involved.

OBJECTION OF THE PROSECUTING ATTORNEY TO DISCHARGE; HEARING. On objection to discharge by the prosecuting attorney under Section 55.55(a), the juvenile court is required by Section 55.55(b) to hold a hearing without a jury to determine whether the child has a mental illness or an intellectual disability and to determine whether the child meets the commitment criteria for civil commitment under Subtitle C (the Mental Health Code) or Subtitle D (the Persons with an Intellectual Disability Act), Title 7, of the Texas Health & Safety Code. At the hearing, by the provisions of Section 55.55(c), the burden is on the state to prove by clear and convincing evidence that the child has a mental illness or an intellectual disability and that the child meets the appropriate criteria for civil commitment under the Texas Health & Safety Code.

Section 55.55(d) provides that if the court finds the child does not have a mental illness or an intellectual disability and finds that the child does not meet the civil commitment standards of the Health & Safety Code, then the court must discharge the child. But if the court finds that the child does have a mental illness or an intellectual disability and meets the civil commitment criteria referred to above, then under Section 55.55(e) the court must issue an appropriate commitment order.

REPORT THAT CHILD HAS A MENTAL ILLNESS OR AN INTELLECTUAL DISABILITY; PROCEEDINGS FOR COMMITMENT. If the report submitted under Section 55.54(b) of the Family Code states that the child has a mental illness or an intellectual disability, then the juvenile court itself must initiate commitment proceedings under the provisions of Sections 55.56 and 55.57 (as to mental illness) or Sections 55.59 and 55.60 (as to intellectual disability), or must refer the case to an appropriate court for the initiation of commitment proceedings under the provisions of Section 55.58 (as to mental illness) or Section 55.61 (as to intellectual disability).

Sections 55.56 through 55.61 contain detailed, specific provisions for conducting the commitment proceedings for mental illness or intellectual disability, as applicable, and include cross-references to the applicable commitment criteria and procedural provisions of the Texas Health & Safety Code.

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Section 55.02 of the Family Code gives the juvenile court jurisdiction of commitment proceedings under the Texas Health & Safety Code for the purposes of ordering mental health or intellectual disability services for a child or for commitment of a child as provided in the Family Code. The juvenile court has the option of conducting the commitment proceedings itself, or referring the case to an appropriate court for commitment proceedings to be conducted under the applicable provisions of the Texas Health & Safety Code.

APPEAL. Section 56.01(c) of the Family Code provides that an appeal may be taken by or on behalf of a child from an order entered under Chapter 55 by a juvenile court committing a child to a facility for treatment of a mental illness or services for an intellectual disability. Appeals from commitment orders entered by appropriate courts other than the juvenile court may be taken under the provisions of Section 574.070 of the Texas Health & Safety Code (for cases involving mental illness) and Section 593.056 of the Texas Health & Safety Code (for cases involving intellectual disability).

CONCLUSION. As with the provisions of the Texas Code of Criminal Procedure regarding adult offenders who are acquitted by reason of insanity, the provisions of the Texas Family Code pertaining to the insanity defense for juvenile offenders are designed to protect both the public and the child who has been acquitted by reason of insanity. Appropriate procedures have been created to accomplish the goal of providing whatever treatment may be needed by the acquitted child, as determined by a thorough evaluation of his or her individual condition, and at the same time to protect the general public.

C. IDEAS FOR REFORM 23 The public often seems to pay little attention to criminal justice issues involving persons with mental illness until a person with mental illness is charged with committing a notorious crime. Without doubt, the 2015 trial of Eddie Ray Routh, who was found guilty of murdering famed “American Sniper” Chris Kyle, and the three Texas cases a little over a decade earlier involving Andrea Yates, Deanna Laney, and Dena Schlosser are prime examples. Indeed, more than thirty-five years after John Hinckley’s insanity acquittal following his attempt to assassinate former President Reagan, these high-profile cases should cause us to re-examine the proper formulation and moral underpinnings of the insanity defense.

What is the impact of limiting the insanity test as Texas has done for many years? Andrea Yates, who had a long family history of serious mental illness, had twice previously attempted suicide and had been treated intermittently for her own 23 Much of this section is excerpted and drawn from an article that one of this book’s original co-authors published in 2007. See Brian D. Shannon, The Time is Right to Revise the Texas Insanity Defense: An Essay, 39 TEX. TECH L. REV. 67 (2006-07). That article was actually an expansion on comparable material that both authors prepared and included in a similar subsection in the third and fourth editions of this book.

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mental illness. During her first trial in 2002, one psychiatrist identified her as “grossly psychotic” and another as one of the most ill individuals that she had ever treated. Charles Krauthammer, Not Guilty, Insane, WASHINGTON POST, Mar. 15, 2002, at A23. Through the symptoms and manifestations of her psychosis, Ms. Yates apparently felt compelled to kill her children to “save” them from some delusional belief of overwhelming evil. Id. See also Yates v. State, 171 S.W.3d 215, 216-18 (Tex. App.—Houston [1st Dist.] 2005, pet. ref’d) (providing a detailed description of Yates’ psychiatric history and long battle with serious mental illness). At the conclusion of the first trial, the jury rejected Yates’ insanity plea. The court of appeals reversed that conviction, however, because the state’s expert witness, Dr. Park Dietz, had provided false testimony that Ms. Yates’ actions in killing her children were “remarkably similar” to the plot of a “Law & Order” television episode, when “there was no ‘Law & Order’ television show with such a plot.” Id. at 221-22. Thereafter, in July 2006 a new jury in the re-trial of Andrea Yates returned a verdict of not guilty by reason of insanity. Unlike with the first jury, which had been “death-qualified” in the initial 2002 capital murder trial, the death penalty was off the table in the retrial. For a further analysis of the case and an excellent discussion of both preparing and cross-examining expert witnesses in insanity defense cases, see George Parnham, Beyond the Andrea Yates Verdict: Mental Health and the Law, 49 TEX. TECH L. REV. 847 (2017) (Mr. Parnham represented Andrea Yates in her murder trials.)

In April 2004, after the first Yates trial but before the second trial, a Tyler jury found Deanna Laney not guilty by reason of insanity after her trial that stemmed from her having bludgeoned her three sons with rocks in May 2003, killing two of the boys and causing profound brain damage to the youngest. See Lee Hancock, Driven by a Voice, Dallas Morning News, Apr. 18, 2004, at H1 (Laney claimed to have “beaten her three boys with stones on orders from God.”). Then, in February 2006, a jury deadlocked 10-2 on the issue of insanity after the first trial of Dena Schlosser, who had cut off the arms of her ten-month old daughter while suffering from psychotic religious ideations. Jennifer Emily, Plano Mom's Trial is Ended; Mistrial Declared After 1 Juror Says He Won’t Change Mind on Guilt, Dallas Morning News, Feb. 26, 2006, at A1. After several months of “religious delusions and hallucinations, … she grabbed the largest knife in the kitchen and severed Maggie’s arms at the shoulders.” Jennifer Emily & Kim Horner, Series of Failures Doomed Baby: It Was No Secret that Dena Schlosser Suffered from Postpartum Psychosis, So Why Wasn’t Maggie Saved?, DALLAS MORNING NEWS, Mar. 19, 2006, at 1A. A second trial, before the judge and lasting approximately five minutes, ended in a verdict of not guilty by reason of insanity. Jennifer Emily, Schlosser Case Ends with Insanity Ruling, DALLAS MORNING NEWS, Apr. 8, 2006, at A1.

All three of these women were seriously mentally ill. Both Yates and Laney were “devout home-schooling moms” with substantial delusions about God and religion.

See Lee Hancock, supra. Similarly, Schlosser “experienced religious delusions and hallucinations.” Jennifer Emily & Kim Horner, supra. Of course, the legal test for insanity in Texas is very different from and much narrower than a medical diagnosis of a serious mental illness coupled with conduct stemming from delusional beliefs.

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Given that all three of these cases eventually ended in findings of not guilty by reason of insanity, the reader might ask whether there really is any need to consider changes to the Texas insanity defense. Perhaps it is indeed working as it is intended.

But, consider some of the underlying circumstances in these three cases. In the Andrea Yates case, the verdict of not guilty by reason of insanity was not returned until after two trials and more than five years following the underlying tragic deaths.

In the Deanna Laney case, all five of the medical experts – even the State’s witnesses – agreed that Ms. Laney met the Texas test for legal insanity. And, in between the first and second trials of Dena Schlosser, doctors discovered an inoperable brain tumor in addition to her mental illness diagnosis.

As is more typical, the jury in the 2015 trial of former Marine Eddie Ray Routh rejected Routh’s insanity defense in connection with Routh’s killing of “American Sniper” Chris Kyle and another victim. Routh had been “hospitalized multiple times for psychiatric treatment and was prescribed medication for schizophrenia. He spoke of pig-human hybrids and the apocalypse and was described by Kyle himself as ‘straight-up nuts.’” Experts: Insanity Case as in “American Sniper” Hard to Win, Chicago Tribune (Feb. 25, 2015), available at http://www.chicagotribune.com/news/nationworld/chi-american-sniper-trial20150225-story.html. See Routh v. State, 516 S.W.3d 677 (Tex. App. – Eastland 2017, no pet.) (affirming conviction). Indeed, a perusal of the cases annotated under the adult insanity defense, Tex. Penal Code Ann. § 8.01, reveals a long list of cases affirming jury rejections of proffered insanity defense claims. But see Ryan Autullo, In Rare Ruling, Kendrix White Found Not Guilty by Reason of Insanity, Austin Statesman (Dec. 11, 2018), available at https://www.statesman.com/news/20181211/in-rare-ruling-kendrex-white-found-notguilty-by-reason-of-insanity (discussing outcome of bench trial resulting in a verdict of NGRI for White who had fatally stabbed a University of Texas student and wounded three others).

These tragic cases involving defendants with severe psychoses have served to illustrate that the Texas insanity defense often bears no apparent relationship to modern understandings about serious mental illness. Contrary to popular myth and despite the occasional NGRI finding, the defense is rarely invoked and seldom successful when the state contests it vigorously. Indeed notwithstanding the ultimate results in the cases involving the three aforementioned Texas women, the Texas test, with its principal focus on the defendant’s knowledge of “right” versus “wrong,” is so narrow that it is often meaningless. In the “American Sniper” trial, the defendant had answered affirmatively to the following question posed by an investigator the night of his arrest: “You know what you did today is wrong, right?” Terence McCoy, Trial of “American Sniper” Chris Kyle’s Killer: Why the Insanity Defense Failed, Washington Post (Feb. 25, 2015), available at https://www.washingtonpost.com/news/morning-mix/wp/2015/02/25/trial-of-american-sniperchris-kyles-killer-why-the-insanity-defense-failed/.

Our law’s narrowly structured focus on an accused person’s cognitive capacity should be reconsidered and revised. Acute symptoms of an untreated serious mental illness may leave an individual’s intellectual understanding and cognitive capacity relatively unimpaired, but can still affect the person’s emotions and reason to such a

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degree that the individual cannot completely or willfully comprehend the situation or control his or her behavior. Moreover, because the confines of the Texas version of the M’Naghten test can also restrict psychiatric testimony to the narrow area of a defendant’s cognitive capacity, the limited “right-wrong” test frequently makes it difficult or impossible for expert witnesses to place before the jury a complete picture of the acute symptoms of a defendant’s mental illness. As George Parnham has observed, Unfortunately, the jury is neither given a definition of the word “know,” nor instructed on what “wrong” means. As a result, forensic experts are able to testify that the defendant may be suffering from a severe mental disease but may still “know” that what she was doing was “wrong.”

George Parnham, supra, 49 TEX. TECH L. REV., at 858-59.

Hence, the M’Naghten test can fail to aid the criminal justice system in identifying many defendants who are experiencing acute symptoms of serious mental illness. In this subsection, we will raise and analyze several alternative options that would – if enacted – serve to modernize the Texas insanity defense to make it better comport with modern medical science and be a more useful tool in the Texas criminal justice system. Plus, a more modern or appropriate test for insanity would provide meaningful guidance to prosecutors in ascertaining whether to pursue a conviction in a particular case or, instead, be more amenable to agreeing to an insanity finding with the corresponding likelihood of long-term, secure hospitalization to protect the public.

REPLACING “KNOW” WITH “APPRECIATE” TO BE CONSISTENT WITH THE FEDERAL STANDARD. There are various ways to reform the Texas insanity test. For example, the legislature could greatly improve the current law simply by amending current Section 8.01 by substituting the term “appreciate” for “know” to be more consistent with federal law. 24 A number of other states take this approach, as well. The term “appreciate” better reflects that the concept of cognition includes various layers of mental recognition beyond simple “knowledge.” Employment of the term has been “construed to permit inquiry into a broader range of mental functions, including perceptual distortion, errors in reasoning, and affective impairments, than were comprehended under the older focus on ‘knowing’ right from wrong.” PAUL S. APPELBAUM, ALMOST A REVOLUTION 168 (Oxford 1994). Similarly, the American Psychiatric Association has expressed the view that such a standard “is one which the American Psychiatric Association believes does permit relevant psychiatric testimony to be brought to bear on the great majority of cases where criminal responsibility is at issue.” American Psychiatric Association, The Insanity Defense; Position Statement, at 6 (Dec. 1982). The American Bar Association also recommends use of the word “appreciate.” See ABA Criminal Justice Standards on Mental Health, at 47 (Aug. 8, 2016), available at 24 Under federal law, it is a defense to a crime if “at the time of the commission of the acts constituting the offense, the defendant, as a result of a severe mental disease or defect, was unable to appreciate the nature and quality or the wrongfulness of his acts.” 18 U.S.C. § 17(a).

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https://www.americanbar.org/content/dam/aba/publications/criminal_justice_standards/mental _health_standards_2016.authcheckdam.pdf.

Accordingly, the following sets forth a possible narrow amendment to the current Texas insanity defense for adult offenders to replace the term “know” with “appreciate”: Sec. 8.01. Insanity. (a) It is an affirmative defense to prosecution that, at the time of the conduct charged, the actor, as a result of severe mental disease or defect, did not appreciate know that his conduct was wrong.

Professor George Dix of the University of Texas School of Law has advocated a further variation on this approach. He not only recommends replacing “know” with “appreciate,” but also has urged that the term “wrong” “be defined as either legally wrong or morally wrong.” George E. Dix, Texas Must Refine Insanity Standard, SAN ANTONIO EXPRESS-NEWS, Dec. 4, 2005, at 5H. This latter revision of Texas law would serve to trump the Texas case law discussed above in which the courts have narrowly held that “wrong” for purposes of Texas law is limited to legal wrongs. As Professor Dix has argued, “This change would not make insanity cases like Yates’ simple ones.

But it would tell juries they must not reject defendants’ claims of insanity simply because the defendants retained some minimal ability to intellectually understand that their conduct was against the law.” Id. Making this revision to the statute would also provide prosecutors with greater leeway in making a determination as to whether to push for a conviction or agree that a defendant is legally insane if the facts warrant. For example, prosecutors pursued a conviction for capital murder against Dena Schlosser after she cut the arms off of her infant daughter while having psychotic hallucinations relating to her mental illness. Following the court’s final determination that Dena Schlosser was not guilty by reason of insanity – after the initial trial ended in a hung jury, Professor Dix commented that it was “unfortunate that the law is not clear enough to make Ms. Schlosser’s insanity evident to the state so that a trial would not be needed.” See Jennifer Emily, supra. Professor Dix further observed, “Had the law made clear that she was insane if – as a result of her impairment – she did not appreciate that cutting off her infant’s arms was morally wrong, I don’t see how a prosecutor could have justified pressing for trial.” Id. A change from “know” to “appreciate” – coupled with the Dix proposal – would represent a substantial improvement over current law. It would recognize that the concept of cognition is not limited to a person’s simple awareness of surrounding circumstances, and that the concept of wrongfulness includes a moral component. In fact, during the 2007 legislative session, a bill would have made these very changes.

As passed by the House Committee, H.B. 2795 would have provided the following: Sec. 8.01. Insanity. (a) It is an affirmative defense to prosecution that, at the time of the conduct charged, the actor, as a result of severe mental disease or defect, did not appreciate know that the actor’s his conduct was legally or morally wrong.

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The bill passed out of committee but died in the final days of the 2007 session when much of the focus of the House was on the challenge to the then-Speaker’s leadership.

During the House Criminal Jurisprudence Committee’s hearing on the bill, the committee heard favorable testimony from George Parnham (Andrea Yates’s attorney) and two of the jurors from Yates’s trials. Similar bills have been filed in subsequent legislative sessions (up through and including 2015), but none of the bills have made it beyond the committee stage. Indeed, prior to the 2013 session, there were negotiations between key prosecutors and defense attorneys to agree to this new standard in exchange for changing the burden of proof to “clear and convincing evidence,” as under the federal test, but nothing was enacted. There were no further bills filed in this regard in either 2017 or 2019.

RESTORING A NARROW VOLITIONAL PRONG TO THE TEXAS TEST FOR ADULT OFFENDERS AND CHANGING THE TERM “KNOW” TO “APPRECIATE.” Another possibility is to restore a volitional component for adult offenders as it was established under both former law and to mirror the approach that is set forth in the Texas Family Code for juveniles. Despite the nationwide rush to abandon the volitional prong following the Hinckley verdict, some concerns were raised along the way. The ABA, for example, in its commentary to an earlier version of its Criminal Justice Mental Health Standards acknowledged that its position was not based on empirical investigation; the ABA emphasized that its preference for a narrow insanity test was not based on any findings that there had been any systematic abuse of the ALI standard. AMERICAN BAR ASSOCIATION CRIMINAL JUSTICE MENTAL HEALTH STANDARDS § 7-6.1 cmt. at 342 (1989). Similarly, Professor Michael Perlin has asserted that the volitional prong was abandoned “without any consideration of the empirical studies then widely available as to the impact or wisdom of such a change.” He concluded that the elimination of the volitional prong would most likely exclude defendants with treatable, mental illnesses of biologic origin. MICHAEL L. PERLIN, LAW & MENTAL DISABILITY 574 (1994).

Advocacy groups that support appropriate treatment for persons with mental illness have called for restoration of a two-prong insanity standard to include a volitional component. For example, at the national level, NAMI supports the use of the two-pronged ALI test, and has advocated the following: Standards for determining whether someone meets the criteria for insanity should be based on the current scientific knowledge about mental illness. For example, these standards should take into consideration not just the person’s understanding of the crime, but also the impact that symptoms of their mental illness, such as delusions or hallucinations, may have had on their actions.

NAMI Public Policy Platform 72-73, available at https://www.nami.org/getattachment/LearnMore/Mental-Health-Public-Policy/Public-Policy-Platform-December-2016-(1).pdf, and NAMI, Insanity Defense, http://www.nami.org/Learn-More/Mental-Health-Public-Policy/Insanity-Defense.

Mental Health America also supports utilization of the ALI test with its cognitive and volitional tests. See Mental Health America, Position Statement 57: In Support

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of the Insanity Defense, available http://www.mentalhealthamerica.net/positions/insanity-defense.

203 at

Even Professor Richard Bonnie in his influential articulation of grounds for eliminating the volitional prong, acknowledged that “[t]he volitional inquiry probably would be manageable if the insanity defense were permitted only in cases involving psychotic disorders.” Richard J. Bonnie, The Moral Basis of the Insanity Defense, 69 A.B.A. J. 194, 196 (1983). The situations in Yates, Laney, Schlosser, and Routh underscore that sentiment. It is time to make the Texas insanity defense more consistent with modern medicine. Psychiatric diagnostics have improved dramatically since the era of the Hinckley trial. Today we know far more about the medical aspects and neurobiological bases of serious mental illnesses and their symptoms and treatment than thirty-five years ago. And, diagnostics are only going to improve. Future assessments and diagnoses will unquestionably incorporate neurobiological findings for the array of serious mental illnesses and major psychoses, and functional brain imaging will play an increasingly important role.

Thus, the lack of a volitional component, particularly in situations in which the defendant was experiencing acute symptoms of a serious neurobiological mental illness at the time of the criminal activity, is inconsistent with and anathema to the moral foundation of an insanity defense as it pertains to criminal responsibility.

What approach should the Texas Legislature consider adopting? One possibility is simply to amend the Penal Code to track the language of the current insanity defense for juveniles set forth in the Family Code. That would result in a restoration of an ALI standard to include both a cognitive test and a volitional prong. It would also serve to use more modern terms like “mental illness” and “intellectual disability” as opposed to the current employment of the antiquated and stigmatizing language, “mental disease or defect.”

A less sweeping alternative would be to enact an approach that adds a volitional alternative, but only for persons with diagnosable serious mental illnesses. This alternative would clearly and appropriately exclude other types of situations with volitional components such as compulsive gambling or certain sexual offenses. In addition, the legislature could couple these changes with the modifications described in the foregoing subsection. Accordingly, the following sets forth a possible amendment to the current Texas insanity defense for adult offenders to add a narrowly cabined volitional prong and to replace the term “know”: Sec. 8.01. Insanity. (a) It is an affirmative defense to prosecution that, at the time of the conduct charged, the actor, (1) as a result of mental illness or an intellectual disability severe mental disease or defect, did not appreciate know that the actor’s his conduct was legally or morally wrong, or (2) lacked substantial capacity to conform the actor’s conduct with the requirements of the law because the actor was experiencing active psychotic symptoms of a serious mental illness such as schizophrenia, bipolar disorder,

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schizoaffective disorder, or other major psychotic disorder diagnosed through accepted scientific criteria. (b) The terms “mental illness” and “intellectual disability” do “mental disease or defect” does not include an abnormality manifested by repeated criminal or otherwise antisocial conduct.

INFORMING JURORS. In addition to the foregoing proposals, other revisions merit consideration. The legislature should amend Texas law to authorize the court to provide a dispositional instruction to jurors regarding the consequences of an insanity verdict. As discussed above, under Texas law the jury may not be informed of the potential consequences of a finding of not guilty by reason of insanity.

Specifically, Article 46C.154 of the Texas Code of Criminal Procedure provides the following: The court, the attorney representing the state, or the attorney for the defendant may not inform a juror or a prospective juror of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned.

Thus, Article 46C.154 prohibits the court and the attorneys from informing jurors or prospective jurors of the consequences to the defendant if they return a verdict of not guilty by reason of insanity. The ostensible purpose of this provision is to prevent the jurors, if possible, from being influenced in their deliberations by the consequences to the defendant of their decision. Although courts have held that this provision does not deny fundamental fairness to the defendant, this provision is extremely troubling. See, e.g., Zwack v. State, 757 S.W.2d 66, 69 (Tex. App.–Houston [14th Dist.]

1988, pet. ref’d); Robison v. State, 888 S.W. 2d 473, 477 (Tex. Crim. App. 1994), cert. denied, 515 U.S. 1162 (1995) (citing Zwack and holding that there was no constitutional infirmity); Shannon v. United States, 512 U.S. 573, 575 (1994) (federal insanity law does not require trial court to instruct the jury on the consequences of an insanity determination). However, if we trust our juries sufficiently to make determinations as serious as making findings to support the imposition of the death penalty, why not trust them with the knowledge that secure hospitalization is the likely result when a person is found not guilty by reason of insanity?

Even though information regarding the likely consequences of an insanity acquittal is irrelevant to the central question of a person’s mental state at the time of the offense in question, guidance of this nature is necessary for a jury to make a knowledgeable and informed decision about the insanity defense. A typical juror is likely acting under the incorrect impression that a person who is acquitted on the basis of insanity will immediately walk free from the courtroom, as would a person who is otherwise acquitted. No doubt there is a lack of awareness on the part of most jurors that lengthy hospitalization is a likely result in Texas in most cases in which the insanity defense has been invoked. 25 [Moreover, despite a tremendous growth in 25 Although the Deanna Laney jury ultimately found Ms. Laney not guilty by reason of insanity, the jurors “wrestled for hours over some jurors’ fears that Ms. Laney ‘was gonna walk’ if they returned an insanity verdict. The jury’s foreman later said legislators could help

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knowledge and awareness over the last fifteen to twenty years regarding serious mental illnesses, the range and depth of psychoses, new varieties of successful treatments, and the dangers of non-treatment, there are still many myths about mental illness and a substantial amount of stigma.] The Texas Court of Criminal Appeals has observed that “[t]he rationale for providing such an instruction [regarding the consequences of an insanity acquittal] is persuasive, that is, such an instruction prevents confusion by jurors and prevents jurors from finding an individual guilty where the clear weight of the evidence indicates the defendant was insane at the time of the commission of the offense.” Robison v. State, 888 S.W.2d at 477 (emphasis added). In Robison the court rejected a constitutional challenge to the statutory bar on informing jurors of the likely consequences of an insanity acquittal, determining that it was a “policy decision” that must “be left to the Legislature where they have spoken on such matters.” Id. Advocacy groups have urged that the law should be changed to allow jurors to be better informed. For example, NAMI leaders have stressed the following: NAMI believes that juries should be informed as [to] the consequences of each verdict as they apply specifically to defendants with mental illness. Jurors should understand that a verdict “not guilty by reason of mental illness” does not result in the defendant being immediately released to once again pose a danger to society.

NAMI, http://www.nami.org/Learn-More/Mental-Health-Public-Policy/Insanity-Defense.

The ABA’s 2016 Criminal Justice Standards on Mental Health 7-6.8 provides the following: “Upon motion of either party, the court may instruct the jury as to the dispositional consequences of a verdict of not guilty by reason of mental nonresponsibility [insanity].” See ABA Criminal Justice Standards on Mental Health, at 49 (Aug. 8, 2016), supra. In its 1989 analysis to an earlier version of the Standards, the ABA reasoned that a “court should instruct the jury as to the dispositional consequences of a verdict of not guilty by reason of mental nonresponsibility [insanity].” ABA STANDARDS, supra at 381, § 7-6.8. Although recognizing the arguments previously made in Texas and other jurisdictions asserting that to inform juries about the consequences of an insanity verdict “may distort the decisionmaking process” and potentially lead to compromise verdicts, the ABA has consistently taken a contrary view. The ABA expressed concern that “jurors who are not informed about dispositional consequences will speculate about the practical results of a nonresponsibility verdict and, in ignorance of reality, will convict persons who are not criminally responsible in order to protect society.” Id. The ABA concluded that an instruction was “the most sensible approach given the potential for prejudice otherwise,” and observed the following: Particularly in cases in which defendants are charged with violent crimes (which is usually the case if the nonresponsibility issue is tried to a jury, as by allowing jurors to ‘know the consequences’ of such a verdict and giving clear definitions to help lay people understand the law.” Lee Hancock, supra.

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opposed to a judge), juries need to be told about the effect of a finding of mental nonresponsibility [insanity] if the possibility of a serious injustice is to be avoided. The fear of compromise verdicts is misplaced. Jurors frequently are given instructions about lesser-included offenses which theoretically could as easily soften jury decisions but do not seem to do so in practice. Id. Accordingly, regardless of the nature of any change to the substantive standard for insanity, the Texas Legislature could amend Article 46C.154 in the following manner: The court shall instruct the jury on, the attorney representing the state, or the attorney for the defendant may not inform a juror or a prospective juror of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned.

This is a policy matter that is readily susceptible to this simple fix.

In fact, in multiple legislative sessions, reforms such as the foregoing were introduced, but to no avail. During the 2013 and 2015 legislative sessions, the following amendments to Article 46C.154 were proposed (but not enacted): The court shall provide instruction to the jury to inform the jury, the attorney representing the state, or the attorney for the defendant may not inform a juror or a prospective juror of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned, in substantially the following form: “A jury during its deliberations must never consider or speculate concerning matters relating to the consequences of its verdict.

However, because of the lack of common knowledge regarding the consequences of a verdict of ‘not guilty by reason of insanity,’ I charge you that if you render this verdict there will be hearings as to the defendant’s present mental condition and, where appropriate, involuntary commitment proceedings.”

This effort should be undertaken once more in a future legislative session. There is no reason to continue the current practice of “hiding the ball.” Why should we deliberately continue to obfuscate matters for the jury? Jurors should not have to guess or speculate about the potential for treatment or whether the individual will continue to be detained in a secure hospital setting. Even though that information is admittedly irrelevant to the central question of a person’s mental state at the time of the offense in question, the information is necessary for a jury to make a knowledgeable and informed decision about the insanity defense. The typical juror is likely acting under the impression that a person who is acquitted on the basis of insanity will immediately walk free from the courtroom, as would a person who is otherwise acquitted. No doubt there is lack of awareness on the part of most jurors

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that lengthy hospitalization is a likely result in Texas and elsewhere in most cases in which the insanity defense has been invoked.

THE OREGON APPROACH. Another intriguing formulation of the insanity defense that merits a close look is the approach that has been codified in Oregon. The Oregon insanity defense is essentially the ALI two-pronged model, with both cognitive and volitional tests, but with a significant twist. Instead of identifying the prospective verdict as “not guilty by reason of insanity,” the Oregon law styles the defense and potential jury verdict as “guilty except for insanity.” Or. Rev. Stat. § 161.295. Specifically, the Oregon statute provides: (1) A person is guilty except for insanity if, as a result of a qualifying mental disorder at the time of engaging in criminal conduct, the person lacks substantial capacity either to appreciate the criminality of the conduct or to conform the conduct to the requirements of law.

(2) As used in [this statute] …, the term “qualifying mental disorder” does not include an abnormality manifested only by repeated criminal or otherwise antisocial conduct, nor does the term include any abnormality constituting solely a personality disorder.

In turn, Or. Admin. Reg. 859-010-0005, further defines “Qualifying Mental Disorder,” as follows: (11) “Qualifying Mental Disorder” (formerly “Mental disease or defect”) means: (a) a developmental or intellectual disability, traumatic brain injury, brain damage or other biological dysfunction that is associated with distress or disability causing symptoms or impairment in at least one important area of an individual's functioning and is defined in the current Diagnostic and Statistical Manual of Mental Disorders (DSM 5) of the American Psychiatric Association; or (b) any diagnosis of a psychiatric condition which is a significant behavioral or psychological syndrome or pattern that is associated with distress or disability causing symptoms or impairment in at least one important area of an individual's functioning and is defined in the Diagnostic and Statistical Manual of Mental Disorders (DSM 5) of the American Psychiatric Association. (c) “Qualifying Mental Disorder,” described in subsections (a) and (b), excluding those conditions described in subsection (d) includes: (A) A disorder in a state of remission which could with reasonable medical probability occasionally become active; or (B) A disorder that could become active as a result of a non-qualifying mental disorder. (d) “Non-Qualifying Mental Disorder” is defined as a mental disorder in which the condition is: (A) A diagnosis solely constituting the ingestion of substances (e.g., chemicals or alcohol), including but not limited to alcohol-induced psychosis; (B) An abnormality manifested solely by repeated criminal or otherwise antisocial conduct; or

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(C) An abnormality constituting a personality disorder.

There are significant differences between the Oregon statute and a typical insanity defense provision (or comparable statute). The most obvious, of course, relates to nomenclature. Given the long history of misinformation and ignorance about both the insanity defense and serious mental illness, there may be a greater willingness on the part of jurors (and legislators) to embrace a verdict that includes the word “guilty” in contrast to “not guilty” for conduct that would ordinarily result in culpability. Moreover, the Oregon statute is not a “guilty but mentally ill” law, which requires incarceration as with any other criminal conviction. Instead, persons who are found “guilty except for insanity” under Oregon law are placed under the jurisdiction of the state’s Psychiatric Security Review Board (PSRB), and generally are placed at the Oregon State Hospital for treatment and later supervised, conditional release. Or. Rev. Stat. § 161.327.

Accordingly, the statutory structure in Oregon requires long-term treatment and supervision of the affected individuals through a hospital system, and not the state’s prison system. In addition, once a defendant in Oregon has been found “guilty except for insanity,” the person is placed under the jurisdiction of the state’s PSRB for hospitalization or conditional release for the maximum period for which the individual could have been sentenced upon a finding of “guilty.”

Although the Oregon statutes are somewhat extensive, the focus of the Oregon PSRB is to oversee both inpatient secure hospitalization and potential reintegration into society. As described by the PSRB’s website, The Psychiatric Security Review Board was originally established in 1977 to supervise those individuals who successfully asserted the insanity defense to a criminal charge. Recognizing that individuals diagnosed with a persistent mental illness have different rehabilitative needs than convicted defendants, this State has invested in a robust mental health system specifically designed for this population. With public safety as its primary focus, the Board has an exceptional record of reintegrating clients into the community with a 6 year average 0.46% adult recidivism rate. http://www.oregon.gov/prb/pages/index.aspx.

Over the years, other studies have similarly revealed “a low criminal recidivism rate for insanity acquittees on conditional release” under the Oregon PSRB system.

See Grant H. Morris, Placed in Purgatory: Conditional Release of Insanity Acquittees, 39 Ariz. L. Rev. 1061, 1071 (1997) (summarizing several studies) (also observing that conditional release was revoked in Oregon “most frequently when patients did not comply with their treatment program or violated some other condition of their conditional release plan, suffered a deterioration in mental condition, or exhibited signs of dangerousness”). Dr. Paul Appelbaum observed that the Oregon PSRB “is the most extensively studied posttrial [sic] reform model” and that “the close followup and the ability to rehospitalize acquittees rapidly that characterize the Oregon

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system appear to have had a substantial positive effect.” PAUL S. APPELBAUM, supra, at 186.

Fifteen years ago, and prior to the 2005 legislative session, the Texas Senate Jurisprudence Committee conducted a review of the Texas insanity defense and considered the prospect of a “guilty, but insane” verdict as a possible replacement for the current standard. Several states have enacted statutes that either replace the “insanity defense” with a GBMI verdict, or add a GBMI alternative. These GBMI statutes, unlike the Oregon approach, function virtually identically to “guilty” verdicts and result in incarceration. An individual found GBMI can be sentenced to life in prison or even to death. Indeed, “GBMI laws have been widely criticized by legal and psychiatric groups ranging from the American Bar Association to the American Psychiatric Association.” Lee Hancock, By Reason of Insanity, DALLAS MORNING NEWS, April 25, 2004, at H1. As Dr. Howard Zonona, a noted psychiatrist from Yale who was the long-time medical director of the American Academy of Psychiatry and the Law, once observed, “GBMI is a farce in that it is no different from a guilty verdict. It doesn’t offer any specific treatment. It doesn’t offer anything different from going to jail and getting whatever any other prisoner would get.” Id. Thus, a verdict of GBMI is not functionally any different from a “guilty” verdict and does not guarantee any psychiatric treatment. Accordingly, it is good that the Texas Senate committee rejected the use of a GBMI verdict, but unfortunate that the very different Oregon approach drew little attention.

In addition, because the Texas insanity defense is so extremely narrow, for all practical purposes we already have a variation of a GBMI verdict. That is, our defense is quite narrow and rarely successful when contested. In cases in which the issue is aggressively contested by the prosecution, there is an extremely limited chance of a defendant’s successfully invoking the insanity defense. There are exceptions, of course, such as in the Yates, Laney, and Schlosser cases. Yet, in those cases the facts regarding the defendant’s underlying conduct and acute symptoms of mental illness have tended to be extreme. For example, and as described above, in the Laney case all five medical experts – even those hired by the prosecution – agreed that she met the standard for legal insanity. Both the Yates and the Schlosser cases, despite their horrific facts, required two trials each. Aside from such rare cases, the typical situation in Texas in which the insanity defense is “successful” is when the prosecution makes a determination not to contest the plea or provides only token opposition.

SUMMARY. Regardless of the array of possible reforms discussed above, the Texas Legislature should consider enacting revisions to the Texas insanity defense for adult offenders to better comport our law with the medical understanding of the typical symptoms of untreated serious mental illness. I am not advocating a “get out of jail free” approach, but rather the use of secure hospitalization and treatment alternatives for these defendants following a criminal proceeding that involves appropriate and modern legal and medical standards.

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Separate and apart from the issues surrounding the criminal justice aspects of the insanity defense, we must continue to focus on improving our mental health treatment system. Think of the tragedies, including the horrific American Sniper, Yates, Laney, and Schlosser cases, in which serious human consequences might have been avoided had there been proper, timely, adequate, and ongoing treatment for the defendants’ mental illnesses. Indeed, today we know that serious mental illnesses are generally treatable, particularly with the array of modern and newer generation medications that are available. We should be striving to make current and appropriate treatments available for such neurobiological diseases and assure continuity of care. If we as a society continue to neglect, fail to prioritize, and underfund the needs of our at-risk citizens with serious mental illnesses, however, the criminal justice system will continue to be overburdened with persons who might have been successfully treated in the community prior to any overlap with criminality. Although the insanity defense can be and should be improved, the overall need for it can be lessened with early diagnoses and appropriate treatment for persons with serious mental illnesses.

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VI. POST-CONVICTION ISSUES As described above, the Texas insanity defense for adults is quite narrow.

Moreover, competency proceedings generally merely postpone criminal proceedings, rather than preclude them. Consequently, many thousands of Texans with serious mental illness are convicted of crimes and incarcerated. Of course, notwithstanding any criminal conviction, an offender with a mental illness will continue to have the need for proper medical and psychiatric treatment following the criminal proceedings. In addition, some convicted offenders will be stricken or diagnosed with mental illness for the first time after their criminal convictions. These offenders will also have treatment needs for their mental illness. Several different possibilities exist under Texas law with regard to mental health treatment after a conviction for an offender with mental illness.

A. COMMUNITY SUPERVISION Texas law allows criminal courts to place certain defendants on “community supervision.” During the 2015 legislative session, former Article 42.12, Texas Code of Criminal Procedure, which had previously governed community supervision, was recodified as Chapter 42A, Texas Code of Criminal Procedure. This was intended to be a non-substantive revision. This non-substantive revision took effect on January 1, 2017.

Following the early 2017 recodification, Article 42A.001(1) defines “community supervision” as follows:

“Community supervision” means the placement of a defendant by a court under a continuum of programs and sanctions, with conditions imposed by the court for a specified period during which: (A) criminal proceedings are deferred without an adjudication of guilt; or (B) a sentence of imprisonment or confinement, imprisonment and fine, or confinement and fine, is probated and the imposition of sentence is suspended in whole or in part.

TEX. CODE CRIM. PROC. ANN. Art. 42A.001(1) (emphasis added). Thus, the statute governs both the prospect of deferred adjudication and the possibility of probation, and it recognizes that the court may impose conditions.

In turn, certain provisions of Chapter 42A relating to community supervision have special significance for offenders with mental illness. For example, with respect to deferred adjudication, Article 42A.101(a) provides that, except for certain offenses,

if in the judge’s opinion the best interest of society and the defendant will be served, the judge may, after receiving a plea of guilty or nolo contendere, hearing the evidence, and finding that it substantiates the defendant’s guilt,

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defer further proceedings without entering an adjudication of guilt and place the defendant on deferred adjudication community supervision.

TEX. CODE CRIM. PROC. ANN. Art. 42A.101(a).

More significantly, however, for offenders with mental illness, Article 42A.104(a) allows a judge to:

require any reasonable condition of deferred adjudication community supervision that a judge could impose on a defendant placed on community supervision for a conviction that was probated and suspended, including: … (2) mental health treatment under Article 42A.506.

TEX. CODE CRIM. PROC. ANN. Art. 42A.104(a) (emphasis added). Accordingly, Chapter 42A permits a court to defer an offender’s adjudication of guilt upon a guilty plea or plea of nolo contendere (no contest), yet condition the use of community supervision on the defendant’s obtaining mental health treatment.

If the judge opts to grant a deferral of adjudication, the period of community supervision can be for up to ten years for most felonies and a maximum of two years for misdemeanors (although these limits can be extended in certain circumstances).

Significantly, at the successful conclusion of the period of community supervision, the judge must dismiss the criminal charges. Additionally, the judge has the discretion to end the period of community supervision and dismiss the charges at an earlier time.

Except in certain narrow situations (such as a later conviction for a comparable offense), ultimate dismissals resulting from deferred adjudication and the requisite community supervision are not deemed to be criminal convictions under the law.

Accordingly, in most cases the criminal offender’s criminal record is effectively purged upon the successful completion of all community supervision.

Thus, the potential advantages stemming from a deferred adjudication should provide a strong incentive for compliance with any specified mental health treatment conditions. Moreover, the courts should take advantage of the specific authorization contained in Article 42A.104(a), Texas Code of Criminal Procedure, allowing them to make mental health treatment a condition of deferred adjudication in appropriate cases. This statutory authority could result in diverting many offenders with mental illness into appropriate treatment settings. The possibility of mental health treatment conditions should be a key factor in plea negotiations involving offenders with mental illness, and serve as a primary tool for mental health courts and mental health public or private defenders.

Of course, under the Code of Criminal Procedure, a judge is not limited to granting community supervision only in cases in which adjudication has been deferred following a guilty plea or plea of nolo contendere. Community supervision is also available in connection with the probating or suspending of an offender’s sentence after a conviction, a guilty plea, or a nolo plea for many offenses. (If a jury has convicted the offender, the jury may also recommend community supervision in

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lieu of confinement in many situations.) Community supervision as part of the suspending or probating of a sentence does not clear the offender’s record, unlike cases involving a deferral of adjudication, in which the offender’s criminal record can be purged following successful completion of the required period of community supervision. Nonetheless, community supervision will often be a desirable alternative to incarceration. Importantly, just as in cases involving deferred adjudication, the Code of Criminal Procedure specifically grants authority to judges to require certain offenders with mental illness to submit to outpatient or inpatient mental health treatment as a condition of community supervision stemming from probated or suspended sentences. TEX. CODE CRIM. PROC. ANN. Art. 42A.506.

The statutory language authorizing mental health treatment conditions now codified in Article 42A.506, Texas Code of Criminal Procedure, was first enacted in 1993 and was modified in 1997 (to extend the section to offenders with intellectual disabilities). The statute represented a significant attempt by the Texas Legislature to divert many offenders with mental illness out of the prison and jail system. It specifically authorizes a court to impose mental health treatment conditions on the placing of a defendant on community supervision – whether as part of deferring an adjudication or probating a sentence. The statute includes the following parameters:

Art. 42A.506. Community Supervision for Defendant with Mental Impairment. If the judge places a defendant on community supervision and the defendant is determined to be a person with mental illness or a person with an intellectual disability, as provided by Article 16.22 or Chapter 46B or in a psychological evaluation conducted under Article 42A.253(a)(6), the judge may require the defendant as a condition of community supervision to submit to outpatient or inpatient mental health or intellectual disability treatment if: (1) the defendant’s: (A) mental impairment is chronic in nature; or (B) ability to function independently will continue to deteriorate if the defendant does not receive mental health or intellectual disability services; and (2) the judge determines, in consultation with a local mental health or intellectual disability services provider, that mental health or intellectual disability services, as appropriate, are available for the defendant through: (A) the Department of State Health Services or the Department of Aging and Disability Services under Section 534.053, Health and Safety Code; or (B) another mental health or intellectual disability services provider.

TEX. CODE CRIM. PROC. ANN. Art. 42A.506 (emphasis added).

Thus, with regard to persons with mental illness, before a court may impose a mental health treatment condition as part of placing a defendant on community supervision, in general an appropriate mental health expert must have assessed the

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offender pursuant under Article 16.22 or conducted a competency evaluation under Chapter 46B (described in detail in Chapters III and IV above). And, of course, the defendant must be competent before the court may exercise its discretion to grant community supervision and imposed mental health treatment conditions. Moreover, the court must find either that the defendant’s mental illness is chronic in nature or that his or her ability to function independently will continue to deteriorate without proper treatment. Finally, the statute requires the judge to take steps to ensure that appropriate outpatient or inpatient mental health services are available either through a state facility or through another provider. In turn, § 534.053(c), Texas Health & Safety Code, requires the Health and Human Services Commission, to the extent that resources are available, to “ensure that services listed in this section are available for defendants required to submit to mental health treatment under Article 17.032, 42A.104, or 42A.506, Code of Criminal Procedure.” TEX. HEALTH & SAFETY CODE ANN. § 534.053(c).

If an offender has a mental illness and the criteria in Article 42A.506 are otherwise met, the court should give strong consideration to exercising its authority to condition the offender’s community supervision on obtaining mental health treatment. The primary purpose behind this statute is to divert many offenders with mental illness out of the criminal justice system and to place them in more appropriate treatment settings – particularly for nonviolent crimes. The legislative intent will be thwarted if courts decline to exercise the authority granted to them.

Article 42A.506 also grants the court flexibility to require either inpatient or outpatient treatment for the offender’s mental illness. Accordingly, the court should take steps to explore the appropriate treatment setting in consultation with the local mental health authority. Moreover, given that other sections of Chapter 42A authorize the court to modify the conditions placed on an offender’s community supervision, the court retains the flexibility to amend the provisions of the mental health treatment conditions. For example, if the court initially mandates an inpatient treatment condition, the symptoms of the offender’s mental illness could (and likely will) improve considerably in a relatively short time. Consequently, the court should then modify the earlier order to require outpatient treatment from that point forward. Treatment results will no doubt vary, and judges should recognize that these statutes afford a great deal of flexibility to tailor appropriate conditions of treatment for offenders with mental illness. In addition, the statute requires consultation with the local mental health authority. It is critical that these communications take place. Defense attorneys and prosecutors can and should help facilitate this dialogue. Moreover, counties should give strong consideration to providing payment to the mental health authority to fund the services, particularly if inadequate state funding has been made available to the mental health authority for such purposes, which is often the case. Placing these defendants on a waitlist for mental health services because of a lack of available resources is not an appropriate action for these individuals.

Chapter 42A does not authorize a court to grant community supervision for all offenses. As described above, these statutes invest judges with substantial discretion

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regarding the determination of whether an offender may be placed on community supervision. Accordingly, an offender does not have a “right” to community supervision, and the granting of community supervision is not automatic. In addition, the statutes include other specific limitations on the granting of community supervision. For example, Article 42A.102 disallows a court from granting deferred adjudication community supervision for several crimes in which the offender was intoxicated. TEX. CODE CRIM. PROC. ANN. Art. 42A.102(b)(1)(A). (By way of example, these excluded offenses include driving while intoxicated with a child passenger, with a commercial license, or with a blood alcohol level over 0.15, as well as the inflicting of serious bodily injury or death during the course of an offender’s intoxicated driving, boating, or flying.) Although community supervision via deferred adjudication is not available for certain of these intoxication offenses, other provisions of Chapter 42A permit community supervision with respect to those offenses as part of a probated or suspended sentence in appropriate cases. Other than a handful of statutory exceptions, however, the principal limitation on a judge’s ability to grant community supervision through deferral of adjudication is the judge’s duty to determine that community supervision is in the best interest of society and the defendant. For many offenders diagnosed with mental illness, both society and the defendant could be well served by community supervision conditioned on a mental health treatment requirement.

In contrast to the narrow range of statutory exceptions to the granting of community supervision through deferred adjudication, Chapter 42A sets forth a larger array of exceptions to the employment of community supervision as part of suspending or probating an offender’s sentence. First, Article 42A.054 specifically precludes a judge from granting community supervision through the suspension or probation of a sentence for several serious crimes. These offenses include murder, capital murder, indecency with a child, human trafficking, aggravated kidnapping, sexual assault, aggravated sexual assault, aggravated robbery, and several other felonies including those in which the offender either used or exhibited a deadly weapon. TEX. CODE CRIM. PROC. ANN. Art. 42A.054. It is worth noting that this list of serious crimes set forth in Article 42A.054, for which community supervision through a probated or suspended sentence is not available, is somewhat comparable to the list of “violent offenses” delineated in Article 17.032, Texas Code of Criminal Procedure; under that provision a magistrate may not release an alleged offender with mental illness on a personal bond conditioned on mental health treatment (as described in Chapter III above). In this regard, both statutes are consistent in carving out certain offenses as a means of providing protection to the public.

In addition to the specific excluded offenses identified in Article 42A.054, Subsection (c)(1) of Article 42A.053 provides that an offender is ineligible for community supervision, as an adjunct to a suspended or probated sentence, if the sentence involved exceeds ten years of imprisonment. TEX. CODE CRIM. PROC. ANN. Art. 42A.053(c)(1). Similarly, Article 42A.056 bars a jury from recommending community supervision if the jury’s sentence exceeds ten years or for other delineated offenses. TEX. CODE CRIM. PROC. ANN. Art. 42A.056(1).

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Another section of Article 42A – Subchapter L – delineates the rules for community supervision for offenders convicted of state jail felonies. Of significance for offenders with mental illness who have been convicted of state jail felonies, Article 42A.554 permits a judge to “impose any condition of community supervision on a defendant that the judge could impose on a defendant placed on supervision for” other offenses. TEX. CODE CRIM. PROC. ANN. Art. 42A.554(a). Thus, just as for other offenses discussed above, the judge may condition a state jail felony offender’s community supervision on his or her obtaining inpatient or outpatient mental health treatment (provided the offender has a mental illness). Given that community supervision is available for state jail felony offenses, judges should give strong consideration to employing the mental health treatment condition as part of the community supervision for appropriate jail felony offenders diagnosed with mental illness. The court must, of course, coordinate with the local mental health authority before doing so.

Undoubtedly, the 1993 criminal justice reform legislation now codified in Chapter 42A included a bold effort by the legislature to grapple with the difficult issues relating to criminal offenders who have serious mental illness. Now, many years later, courts should generally be willing to place these offenders on community supervision in appropriate cases, particularly given that the law has long authorized the imposition of mental health treatment conditions on the grant of community supervision in appropriate cases. Moreover, this authority dovetails nicely with more recent initiatives to establish pre-adjudication mental health courts.

Plea Bargains and Competency. As anyone generally familiar with the criminal justice system will acknowledge, the vast majority of criminal convictions are typically the result of bargained-for guilty pleas or pleas of nolo contendere.

[Legislation enacted and fine-tuned a number of times since 1993 that authorizes and encourages courts to divert offenders with mental illness into inpatient or outpatient mental health treatment should enhance the prospects for negotiated pleas in such cases.]

One important matter should not be forgotten in cases involving such guilty pleas, however. As part of the general requirement that a defendant be competent to understand the proceedings against him or her, that defendant must also be sufficiently competent to comprehend the import of a guilty plea. If the alleged offender is so mentally ill as not to be currently competent, any guilty plea at that time would be suspect – even if the plea resulted in community supervision with a mental health treatment condition. Thus, for example, defense counsel, the prosecution, and the court should take steps to assure that the defendant is currently competent if an alleged offender with mental illness opts to plead guilty as part of attempting to secure community supervision through a deferred adjudication. Of course, an offender with mental illness might be sufficiently stable to be competent for purposes of understanding the import of a guilty plea, yet still have ongoing mental health treatment needs. Given that the court must generally require an examination of the offender by a mental health expert before imposing a mental health treatment condition as part of the offender’s community supervision, the

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mental health expert may well have also evaluated the offender’s competency.

Indeed, a typical method of examination authorized by Article 42A.506 as a precursor to the imposition of any mental health treatment condition is an expert’s evaluation under the provisions of the criminal competency statutes (Chapter 46B, Texas Code of Criminal Procedure, which is discussed in Chapter IV above).

B. PRISON OR JAIL MENTAL HEALTH CARE MENTAL HEALTH TREATMENT IN PRISON OR JAIL. If a convicted offender with mental illness is not granted or does not otherwise qualify for community supervision as described above, mental health treatment after conviction is administered through the auspices of the prison system or through programs provided by local jails.

TEXAS PRISON SYSTEM HEALTH SERVICES POLICY MANUAL. The Texas prison system, the official name of which is the Correctional Institutions Division of the Texas Department of Criminal Justice, provides mental health care on an inpatient basis under applicable provisions of its Correctional Managed Health Care Policy Manual.

Discussion of the numerous extensive and detailed provisions of the Manual is beyond the scope of this guide book. Even so, it is important to know that the mental health treatment administered by the Texas prison system to convicted offenders is provided consistent with the provisions of that Manual. Links to the various subsections of the Manual are available for viewing and download at https://www.tdcj.state.tx.us/divisions/cmhc/cmhc_policy_manual.html.

The Manual covers the broad array of health services provided to inmates by the Texas prison system, including topics such as initial mental health appraisals and evaluations and access to the care provided through the prison system’s mental health services.

The Manual also deals with the referral of offenders to specialized treatment of various kinds, including psychiatric inpatient or crisis management, and covers consent for admission to inpatient psychiatric care; informed consent to mental health treatment; the right to refuse treatment or services; release of information regarding mental health services; and forensic information pertaining to mental health services.

The treatment provisions of the Manual cover a wide variety of topics, including treatment planning, the prescribing of psychoactive drugs, psychiatric crisis management, use of restraints with mental health patients, psychiatric inpatient seclusion, compelled psychoactive medication for mental illness, and suicide prevention. Other parts of the Manual cover topics such as outpatient sheltered housing, inpatient mental health discharge processes, and various matters related to documentation of mental health services provided by the prison system.

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TEXAS CORRECTIONAL OFFICE ON OFFENDERS WITH MEDICAL OR MENTAL IMPAIRMENTS. Chapter 614 of the Health & Safety Code pertains to the Texas Correctional Office on Offenders with Medical or Mental Impairments (TCOOMMI), once known as the Texas Council on Offenders with Mental Impairments. The powers and duties of TCOOMMI are set forth in Section 614.007, Health & Safety Code, and include responsibility for determining the status of offenders with mental impairments in the state criminal justice system, identifying needed services for offenders with mental impairments, overseeing related tasks associated with monitoring, assisting with the evaluation and implementation of various aspects of programs, disseminating information about these programs, and developing pilot projects.

As set forth in the applicable part of these statutes, Section 614.013, Health & Safety Code, gives TCOOMMI the authority and responsibility to coordinate and monitor the development and implementation of memoranda of understanding establishing the respective responsibilities of the Texas Department of Criminal Justice, the Health and Human Services Commission, the Department of Public Safety, representatives of local mental health or intellectual and developmental disability authorities, and the directors of community supervision and corrections departments. These agencies are responsible for instituting and maintaining a continuity of care and service program for offenders with mental impairments in the criminal justice system.

Some of TCOOMMI’s responsibilities were discussed in several of the foregoing chapters. For example, the legislature has assigned responsibility to TCOOMMI to develop standard forms in electronic format for experts to use for competency examination reports and for assessment reports required by Article 16.22. See TEX. HEALTH & SAFETY CODE ANN. § 614.0032(b)-(c).

C. COMPLETION OF THE CRIMINAL SENTENCE Just as a mentally ill offender’s mental health treatment needs do not end upon a conviction, treatment will likely continue to be necessary once the offender completes the requisite prison term or is granted parole. Issues, including legal challenges, have arisen concerning the need for continuity of care for offenders with mental illness upon the conclusion of their incarceration. [Similar to the need for proper discharge planning when an individual is released from a state or community mental hospital to a community-based outpatient setting, offenders with mental illness often require assistance in securing mental health treatment opportunities upon release from the prison system.] We have seen a substantial increase in activity in this area of the criminal justice system over the last three decades, and a few such initiatives are described below.

Medically Recommended Intensive Supervision. Section 508.146, Texas Government Code, provides the following, in part:

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(a) An inmate other than an inmate who is serving a sentence of death or life without parole may be released on medically recommended intensive supervision on a date designated by a parole panel described by Subsection (e), except that an inmate with an instant offense that is an offense described in Article 42A.054, Code of Criminal Procedure, or an inmate who has a reportable conviction or adjudication under Chapter 62, Code of Criminal Procedure, may only be considered if a medical condition of terminal illness or long-term care has been diagnosed by a physician, if: (1) the Texas Correctional Office on Offenders with Medical or Mental Impairments, in cooperation with the Correctional Managed Health Care Committee, identifies the inmate as being: (A) a person who is elderly or terminally ill, a person with mental illness, an intellectual disability, or a physical disability, or a person who has a condition requiring long-term care, if the inmate is an inmate with an instant offense that is described in Article 42A.054, Code of Criminal Procedure; or (B) in a persistent vegetative state or being a person with an organic brain syndrome with significant to total mobility impairment, if the inmate is an inmate who has a reportable conviction or adjudication under Chapter 62, Code of Criminal Procedure; and (2) the parole panel determines that, based on the inmate’s condition and a medical evaluation, the inmate does not constitute a threat to public safety; and (3) the Texas Correctional Office on Offenders with Medical or Mental Impairments, in cooperation with the pardons and paroles division, has prepared for the inmate a medically recommended intensive supervision plan that requires the inmate to submit to electronic monitoring, places the inmate on super-intensive supervision, or otherwise ensures appropriate supervision of the inmate. (b) An inmate may be released on medically recommended intensive supervision only if the inmate’s medically recommended intensive supervision plan under Subsection (a)(3) is approved by the Texas Correctional Office on Offenders with Medical or Mental Impairments. (c) The parole panel shall require as a condition of release under Subsection (a) that the releasee remain under the care of a physician and in a medically suitable placement. At least once each calendar quarter, the Texas Correctional Office on Offenders with Medical or Mental Impairments shall report to the parole panel on the releasee’s medical and placement status. On the basis of the report, the parole panel may modify conditions of release and impose any condition on the releasee that a panel could impose on a releasee released under Section 508.145, including a condition that the releasee reside in a halfway house or community residential facility. ****

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TEX. GOV’T CODE ANN. § 508.146(a)-(c) (emphasis added).

This statute, which was first enacted in 1991 and subsequently amended in part, authorizes the possibility of an early release from incarceration for many crimes for certain inmates with mental illness (or other medical conditions delineated in the act), but subject to intensive medical supervision. Prior to 2001 amendments, the statute referred to such supervised release as “special needs parole.” Before an inmate is released with the appropriate medical supervision, the parole panel must determine that the inmate with mental illness does not pose a threat to public safety.

Also, the medical supervision plan must be coordinated with TCOOMMI. That Office has traditionally focused its resources toward those with the most serious medical problems.

Parole, in General. In addition to the intensive medical supervision provisions described above, another statute grants authority to parole panels to impose mental health treatment conditions in appropriate cases for offenders with mental illness who are being released on parole. Section 508.221, Texas Government Code, provides that “[a] parole panel may impose as a condition of parole or mandatory supervision any condition that a court may impose on a defendant placed on community supervision under Chapter 42A, Code of Criminal Procedure ….”

As described in Subchapter VI-A above, Chapter 42A authorizes courts to impose mental health treatment conditions as part of community supervision for offenders with mental impairments. Of particular significance for offenders with mental illness who have completed their sentences and are eligible for parole, the legislature has granted those same powers to the Board of Pardons and Parole.

Continuity of Care. In 1993, the Texas Legislature first enacted legislation relating to the continuity of care for offenders with mental illness (as well as inmates with other special needs) upon release from the prison system. With respect to offenders with mental illness, the legislation has directed the Texas Department of Criminal Justice, the Department of Public Safety, the Health and Human Services Commission, and various community mental health centers to “adopt a memorandum of understanding that establishes their respective responsibilities to institute a continuity of care and service program for offenders with mental impairments in the criminal justice system.” TEX. HEALTH & SAFETY CODE ANN. § 614.013(a).

The legislation further requires these agencies to establish methods for (1) identifying offenders with mental impairments in the criminal justice system, (2) developing interagency policies, rules, standards, and procedures for coordinating care for such persons and exchanging information, and (3) identifying necessary services for offenders with mental impairments to return to the community successfully. In addition, a comparable statute calls for similar memoranda of understanding to be implemented by TCOOMMI, the Commission on Law Enforcement, the Department of Public Safety, and the Commission on Jail Standards. TEX. HEALTH & SAFETY CODE ANN. § 614.016. These memoranda of understanding (MOUs) have been adopted and updated over the years since initial enactment. Similarly, Health & Safety Code § 614.013 requires comparable MOUs

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relating to continuity of care and services in local communities with regard to offenders with mental impairments in the criminal justice system.

TCOOMMI, which is a part of TDCJ’s Reentry and Integration Division, has also operated and funded various community-based programs. One of these, which is of particular relevance to this subchapter, is a “continuity of care” program. That program is intended to identify offenders in state jails or prisons with mental illness (or other special needs) who need post-release aftercare treatment. As one of the agency’s early reports to the legislature stated, “By identifying offenders who are in need of aftercare treatment prior to their release, the offenders’ chances for a more successful re-entry into the community are improved. This is particularly true for offenders who have a history of non-compliance due to mental health issues.” TEX. COUNCIL ON OFFENDERS WITH MENTAL IMPAIRMENTS BIENNIAL REP. 20 (2003).

TCOOMMI served over 42,000 offenders with their continuity of care efforts in FY 2018. See 2019 TEX. CORRECTIONAL OFFICE ON OFFENDERS WITH MEDICAL OR MENTAL IMPAIRMENTS BIENNIAL REP. 7 (2019), available at https://www.tdcj.texas.gov/documents/rid/TCOOMMI_Biennial_Report_2019.pdf.

As noted above, upon completion of a prison or jail sentence, mental health treatment conditions can be imposed as part of an offender’s parole (for an offender with mental illness). TCOMMI, in turn, has endeavored to contract with local mental health authorities for continuity of care services to be provided in the communities upon release. Texas has been a leader in developing a continuity of care program specifically designed for offenders with special needs. And, the process is continually being re-examined and improved. For example, the agency revamped its procedures beginning in 2006 in an effort to reach inmates who were not showing up for postrelease appointments for treatment once discharged after their prison or state jail terms have expired. This led to recommendations for better sharing of assessments and diagnostic information prior to parole. See TEX. CORRECTIONAL OFFICE ON OFFENDERS WITH MEDICAL AND MENTAL IMPAIRMENTS BIENNIAL REP. 16-17, 37 http://www.tdcj.state.tx.us/documents/rid/TCOOMMI_Biennial_Report_2007.pdf.

(2007), Improved interagency communication and information sharing is particularly important, even critical, if an offender’s parole includes mental health treatment conditions.

Tremendous strides have been made in recent years as TCOOMMI has enhanced its continuity of care programs and further refined the coordination efforts between agencies who provide services or have contacts with offenders with mental illness.

For further background, see the following links to two more recent biennial reports by the Office: (1) https://www.tdcj.texas.gov/documents/rid/TCOOMMI_Biennial_Report_2017.pdf, and (2) https://www.tdcj.texas.gov/documents/rid/TCOOMMI_Biennial_Report_2019.pdf.

The state, however, should not lose the initiative and must endeavor to reduce the prospects of future criminal activity by continuing to ensure that the mental health treatment needs of former offenders with mental illness are addressed upon discharge or parole from prison or jail.

Appendix I

About the Author Brian Shannon is a Paul W. Horn Professor at the Texas Tech University School of Law, where he has been a member of the faculty since 1988. He earned his J.D. in 1982 from the University of Texas, graduating first in his class, and received a B.S. in Mathematics from Angelo State in 1979. He formerly practiced in the Office of the General Counsel to the Secretary of the Air Force at the Pentagon, and at an Austin law firm.

Shannon serves on the Texas Judicial Commission on Mental Health, and previously served four terms on the Texas Governor’s Committee on People with Disabilities and as chair of the State Bar of Texas Disability Issues Committee. He also serves on the board for StarCare Specialty Health Care System and is a past chair. Shannon also was an appointee on the Legislative Task Force that re-wrote the state’s criminal competency statutes. He is a past President of the Lubbock Area Bar Association, and serves as Texas Tech’s Faculty Athletics Representative to the NCAA and Big 12 Conference. In that role, he served three terms as the president of 1A FAR (an organization of the faculty athletics representatives from the across the nation). Shannon also served on the NCAA’s Division I governing Council and is the immediate past Chair of the Division I Legislative Committee.

Shannon is the author or co-author of several books and numerous articles, including five previous editions of Texas Criminal Procedure & the Offender with Mental Illness: An Analysis & Guide.

Published on Voice For The Defense Online (http://archive.voiceforthedefenseonline.com) Home > Printer-friendly PDF

The Intersection of Mental Illness and the Criminal Justice System [1]Features [2]Sarah Roland Saturday, March 31st, 2018

[3]

When the criminal justice system and the offender with mental disorder collide, it is often a train wreck. The criminal justice system is a system comprised of systemic order, expectations, and rules whereas offenders with mental disorders?by virtue of their mental disorder?are more often scattered, unpredictable and incapable of fitting into such a system. The approach of the defense lawyer when helping a person with a

mental disorder must change in order to provide complete, and constitutionally effective, representation.

A complete understanding of competency and insanity laws, in addition to diversionary court programs, is necessary to effective representation of persons with mental illness. Every practitioner should keep abreast of legislative changes to the laws pertaining to competency and insanity. Another invaluable resource is Texas Criminal Procedure and the Offender with Mental Illness (5th Ed. 2016). This text is available for download online at [4]http://namitexas.org/wp-content/uploads/sites/12/2014/12/2016-NAMI-Texas....

II. Mental Illness At the outset it is important to understand what is meant by the term ?mental illness? in the context of the criminal justice system. Certainly, mental illness includes neurological brain disorders such as schizophrenia, bipolar disorder, clinical depression, and schizoaffective disorder. After all, the brain is an organ of the body, and like other organs of the body, the brain can become unwell. On the other hand, under the state?s civil commitment laws, the Texas Mental Health Code defines ?mental illness? somewhat more broadly than a mere listing of identifiable, neurobiological brain disorders: ?Mental illness? means an illness, disease, or condition, other than epilepsy, dementia, substance abuse, or intellectual disability, that:

Substantially impairs a person?s thought, perception of reality, emotional process, or judgment; or Grossly impairs behavior as determined by recent disturbed behavior.

Tex. Health & Safety Code Ann. 571.003(14); Shannon & Benson, Texas Criminal Procedure and the Offender with Mental Illness, p. 12?13 (5th Ed. 2016). Of specific note in the definition of the phrase ?mental illness? in the Texas Health and Safety Code is the exclusion of substance abuse as a mental disorder or impairment; conversely, the DSM-5 treats what it terms ?substance use disorder? as a mental illness.

According to the DSM-5, ?[a] mental disorder is a syndrome characterized by clinically significant disturbance in an individual?s cognition, emotion regulation, or behavior that reflects a dysfunction in the psychological, biological, or developmental processes underlying mental functioning. Mental disorders are usually associated with significant distress in social, occupational, or other important activities. An expectable or culturally approved response to a common stressor or loss, such as the death of a loved one, is not a mental disorder. Socially deviant behavior (e.g., political, religious, or sexual) and conflicts that are primarily between the individual and society are not mental disorders unless the deviance or conflict results from a dys-function in the individual, as described above? [emphasis added].

Modern research efforts relating to the causes of mental illness indicate that mental illnesses are the result of neurobiological disease, not of weaknesses in character or poor parenting. Shannon & Benson, Texas Criminal Procedure and the Offender with Mental Illness at 15. Though presently mental illness is not curable, mental illnesses is a treatable disease. It is with this frame of reference and focus that all participants in the criminal justice system should view defendants with mental illness.

III. Competency It is well-established that an incompetent criminal defendant cannot be put to trial without violating due process. Medina v. California, 505 U.S. 437, 453 (1992). The requirement of competency also applies at a proceeding to adjudicate guilt, Marbut v. State, 76 S.W.3d 742, 746 (Tex. App.?Waco 2002, pet. ref?d), and

to pleas of guilty or nolo contendere, Tex. Code Crim. Proc. Art. 26.13(b).

A. Informal Inquiry On suggestion that the defendant may be incompetent, from what-ever source, the trial judge is required to make ?informal inquiry? whether there is evidence that would support a finding that the defendant may be incompetent to stand trial. Alcott v. State, 51 S.W.3d 596, 601 (Tex. Crim. App. 2001) (?competency inquiry?). The trial court has broad discretion concerning the nature and intensity of this inquiry. It would be considerably unwise for a trial court to dismiss any suggestion of incompetency.

Article 46B is somewhat unclear as to the basis on which a competency situation progresses from an informal inquiry into a formal determination of competency. Dix & Schmolesky, 43 Texas Practice: Criminal Practice and Procedure 31:36 (2011). However, the best practice is to order a competency examination and trial if an agreement on (in)competency cannot be reached. The standard from Sisco v. State is controlling for purposes of determining whether evidence exists to support a finding of incompetency: The judge is to ignore any evidence indicating competency and consider only that indicating incompetency. 599 S.W.2d 607 (Tex. Crim. App. 1980) (panel op.).

B. Competency Standard Unlike insanity, discussed supra, competency to stand trial concerns the accused?s mental condition at the time of trial. The constitutional standard for competency to stand trial asks whether the defendant has a sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding, and whether he has a rational as well as factual understanding of the proceedings against him. Dusky v. United State, 362 U.S. 402 (1960). Due process also mandates state procedures that are adequate to assure that incompetent defendants are not put to trial. Pate v. Robinson, 383 U.S. 375 (1966). To that end, the Texas Legislature has codified the constitutional standard for competency to stand trial and has elaborately described the circumstances that require, and procedures for making, a determination of whether a defendant is competent to stand trial. Tex. Code Crim. Proc. Art. 46B, et. seq.

The legislative criteria for competency contemplates a defendant who is at least minimally able to interact with trial counsel in a reasonable and rational way in formulating decisions on how to best pursue the defense. During a competency evaluation an expert shall consider, among other enumerated factors, the defendant?s capacity to: Rationally understand the charges against the defendant and the potential consequences of the pending criminal pro-ceedings; Disclose to counsel pertinent facts, events, and states of mind; Engage in a reasoned choice of legal strategies and options; Understand the adversarial nature of criminal proceedings; Exhibit appropriate courtroom behavior; and Testify.

Tex. Code Crim. Proc. Art. 46B.024. Unless there is good cause shown, an expert who is ordered to conduct a competency examination shall provide the report to all parties no later than 30 days after the date on which the expert was ordered to examine the defendant and prepare the report. Tex. Code Crim. Proc. Art. 46B.026.

A defendant is entitled to representation by counsel, and appointed counsel if necessary, ?before any courtordered competency evaluation.? A defendant is afforded the same right to counsel ?during any proceeding at which it is suggested that the defendant may be incompetent to stand trial.? Tex. Code Crim. Proc.

46B.007. The trial court must provide an expert of the defendant?s choice a ?reasonable opportunity to examine the defendant,? if this is sought by timely request. Tex. Code Crim. Proc. Art. 46B.021(f).

C. The Competency Trial Federal constitutional law does not require that competency issues be answered by a jury. Townsend v. State, 427 S.W.2d 55?58 (Tex. Crim. App. 1968). However, where there is a jury trial on competency, the decision of the jury is final and controlling. Ex Parte Morgan, 403 S.W.2d 803, 804 (Tex. Crim. App. 1966). Neither the State nor the defendant is entitled to make an interlocutory appeal relating to a determination of incompetency under Article 46B.005. Tex. Code Crim. Proc. Art. 46B.011.

Subchapter C of Chapter 46B addresses the incompetency trial process. A jury trial is required on the issue of competency upon the request of either party or on the motion of the court. Tex. Code Crim. Proc.

46B.051. For the most part, the rules governing a competency trial are the same for a jury trial on the merits.

The Texas Rules of Evidence apply. Tex. Code Crim. Proc. Art. 46B.008. A defendant is entitled to counsel, and if indigent, to appointed counsel. See supra, 46B.006. The Court of Criminal Appeals has also assumed that provisions for change of venue as articulated in the Code of Criminal Procedure apply to competency trials. Penry v. State, 903 S.W.2d 715, 727 (Tex. Crim. App. 1995) (per curium). A unanimous verdict is required. Defense counsel is permitted to question jurors on whether they have any views of the defendant?s guilt. Brandon v. State, 599 S.W.2d 567, 572 (Tex. Crim. App. 1979), vacated and remanded on other grounds, 453 U.S. 902, 101 S.Ct. 3134, 69 L.Ed.2d 988 (1981). However, the number of preemptory challenges follows the civil rule. There is a presumption of competency, and the bur-den of proof is a preponderance of the evidence rather than beyond a reasonable doubt. Tex. Code Crim. Proc. Art. 46B.003.

Of interesting note, under Manning v. State, 773 S.W.2d 568 (Tex. Crim. App. 1989) (per curium), adopting Manning v. State, 766 S.W.2d 551 (Tex. App.?Dallas 1989), defense counsel can be called by the State in support of its claim that the defendant is competent over a claim by the defendant of attorney-client privilege as long as: (1) the attorney does not reveal the contents of any confidential communications to the attorney by the defendant; and (2) the attorney must testify only to facts and conclusions based on observations and conversations with the defendant that other persons not representing the defendant could have made or had.

D. Procedures After Competency Trial a. Competent If, after a jury trial on the issue of competency, a defendant is determined to be competent a separate jury is required for the trial on the merits of the criminal case. Tex. Code Crim. Proc. Art. 46B.053. b. Incompetent If, however, a defendant is determined to be incompetent then the court has basically two options: (1) release the defendant on bail or (2) commit the defendant to a mental health facility or residential care facility.

There is an option to commit the defendant to a jail-based competency restoration program (JBCR). This sounds like an excellent option to avoid the languishing waits in county jails for a bed at the state hospital.

However, it is not yet a feasible option. S.B. 1475, 83rd Legislature, Regular Session, 2013, amended Article 46B.090 of the Texas Code of Criminal Procedure to establish a JBCR Pilot Program. As with many things in the government, there have been substantial delays in actually developing and implementing such a program. The workgroup met a couple of times and has published its latest report as of June 1, 2017. As of the submission of this paper, the author is unaware of any JBCR programs in this state.

Release on bail, after a determination of incompetency, is permissible if the defendant is ordered to participate in an outpatient program for not more than 120 days. A felony defendant may be released on bail and required to participate in an outpatient treatment program if:

The court determines the defendant is not a danger to others and may be safely treated on an outpatient basis; The court determines an appropriate outpatient treatment program is available for the defendant; The court receives and approves a comprehensive plan for the outpatient treatment; and The court finds that the treatment proposed by the plan will be available to and will be provided to the defendant.

[5] Tex. Code Crim. Proc. Art. 46B.072(a)(1). In order to have any realistic chance at release on bail after a determination of incompetency, a tremendous amount of work needs to be conducted before the competency trial. Finding a treatment facility and obtaining a comprehensive treatment plan before the competency trial is a must. Defense counsel must be prepared to offer to the trial court?as soon as the finding of incompetency has been made?evidence in accordance with article 46B.072(a)(1) for any realistic chance for the defendant to be released on bail. This is akin to preparing for the punishment phase in the trial on the merits. The preparation must occur before the trial; it is too late to start preparing when the jury is deliberating, and success is not achieved on an impromptu basis.

Where there has been a finding of incompetency, the trial court shall commit a defendant to a mental health facility, residential care facility, or JBCR program for a period of not more than 60 days if the offense is a misdemeanor and not more than 120 days if the offense if a felony. Tex. Code Crim. Proc. Art. 46B.073. If the defendant is charged with an offense under article 17.032(a) of the Code of Criminal Procedure, then the Court shall enter an order committing the defendant to a maximum-security unit for competency restoration.

Id. The Court may grant one 60-day extension under article 46B.080 upon request of the head of a facility or program provider for a defendant who has not regained competency during the initial restoration period.

After an initial restoration period and an extension have been ordered, any subsequent orders for treatment must be issued under Subchapter E or F (both dealing with civil commitment).

The court is required to notify the state and defense counsel of the defendant?s return not later than the next business day following the defendant?s return from the state hospital. Within three days of the date of said notice, defense counsel shall meet and confer with the defendant to evaluate whether there is any suggestion that the defendant has not yet regained competency. Tex. Code Crim. Proc. Art. 46B.084.

When the defendant returns to the court after hospitalization, the court must make a determination with regard to the de-fendant?s competency to stand trial. The determination may be made on the most recent report filed under Article 46B.079(c) and other medical and personal history information of the defendant.

Importantly, Article 46B.084(a-1) identifies the procedure for objecting to a report filed under Article 46B.079(c). If a party objects under Subsection (a-1), the issue shall be set for a hearing. Tex. Code Crim.

Proc. Art. 46B.084(b). The hearing is before the court?except that on motion by the defendant, the defense counsel, the prosecuting attorney, or the court, the hearing shall be held before a jury. Id. If there is a finding that the defendant is unlikely to be restored to competency in the foreseeable future the Court shall either release the defendant on bail (a highly unlikely scenario) or proceed under Subchapter E or F, both dealing with civil commitment. See Tex. Code Crim. Proc. Art. 46B.071.

If a defendant is ultimately convicted of a criminal offense, the court must credit the defendant?s sentence for any time that he has been confined in a mental health facility, residential care facility, or jail pending trial. Tex. Code Crim. Proc. Art. 46B.009.

It is often impossible for the offender with mental illness to get out of the system. All too often lawyers and courts?the system?is in a rush to hurry and plead the person upon return from the State Hospital. The facts may dictate no other option sometimes. However, consider for a moment what that does to the offender with mental illness. A sentence of incarceration may brand a mentally ill offender as a criminal convict, thus preventing them from obtaining certain helpful governmental services and/or housing. A term of community supervision appears a better option at first?until the stark realization that the ?newly competent? offender will be required to adhere to a rigid set of rules while at the same time being required to complete unfamiliar classes. Under such circumstances, community supervision will not last long before adjudication or revocation. Temporarily restored competency for court purposes does not eliminate the mental health issue(s) that will certainly follow the client.

It is worth noting that perhaps due to crowding in the state hospitals or the rapidity with which some courts prefer the docket to be moved (or some combination of the two), it is not uncommon to find your newly ?competent? client returned to the county jail heavily medicated. In such situations, it be can difficult, if not impossible, to determine whether your client has been restored to competency or is merely a heavily sedated version of their former self. Be mindful that in such situations, a new problem presents itself, insofar as medication can interfere with your client?s ability to knowingly and voluntarily enter into any sort of plea agreement.

Additionally, there is no prohibition to a subsequent suggestion of incompetency if circumstances so warrant. If a formal competency trial results in a finding of competency, the trial court is not obligated to revisit the issue of competency absent a material change of circumstances suggesting that the defendant?s mental status has deteriorated. Turner v. State, 422 S.W.3d 676, 693 (Tex. Crim. App. 2014, reh?g denied) (internal citations omitted). However, especially when there has been a suggestion of incompetency but no formal adjudication of the issue, due process requires the trial court to remain ever vigilant for changes in circumstances that would make a formal adjudication appropriate. Id. (emphasis added). The latter was precisely the factual situation in Turner.

Mr. Turner was initially evaluated for competency and determined to be competent. The competency reports indicate that not all of the factors in 46B.024 were considered in the evaluation, and the evaluation further noted some concerns that Turner suffered from a paranoid disorder and that Turner was experiencing delusions. Id. at 693. Turner?s lawyers?his first lawyer withdrew due to an untenable attorney-client relationship and another was appointed?expressed concerns to the trial court over their client?s paranoia and its impact on their representation at various points in their representation. Prior to jury selection and again during jury selection, Turner?s lawyers filed a request for a competency examination. The trial court refused to conduct a formal competency hearing, but did order an evaluation of Turner to determine whether he was

able to rationally assist his lawyers in the defense of his case. The evaluation made no determination on Turner?s competency but did suggest no significant changes in his functioning since he was initially evaluated. The trial court denied the motion for a formal competency evaluation.

In abating the appeal and remanding back to the trial court for a competency trial, the Court of Criminal Appeals noted that there was no adjudication of the competency issue in this case following any of the evaluations. Id. at 694. Thus, there was no prior judicial competency determination to justify a requirement of a change in circumstances. Id. at 695. In Turner, there was at least some evidence from which it may be rationally inferred not only (1) that the defendant suffers some degree of debilitating mental illness, and that (2) he obstinately refuses to cooperate with counsel to his own apparent detriment, but also that (3) his mental illness is what fuels his obstinacy. Id. at 696. Turner is a necessary case for defense counsel to read and have on hand when representing an obstinate client with mental illness.

IV. Insanity Insanity is an affirmative defense to prosecution codified in section 8.01 of the Penal Code: (a) It is an affirmative defense to prosecution that at the time of the conduct charged, the actor, as a result of severe mental disease or defect, did not know that his conduct was wrong. (b) The term ?mental disease or defect? does not include an abnormality manifested by repeated criminal or otherwise antisocial conduct. ?Wrong? in the context of 8.01 means ?illegal.? Thus, the question for deciding insanity is this: Does the defendant factually know that society considers this conduct against the law, even though the defendant, due to his mental disease or defect, may think that the conduct is morally justified?? Ruffin v. State, 270 S.W.3d 586, 592 (Tex. Crim. App. 2008).

Article 46C.153 instructs that the judge or jury shall determine that a defendant is not guilty by reason of insanity if: (1) the prosecution has established beyond a reasonable doubt that the alleged conduct constituting the offense was committed; and (2) the defense has established by a preponderance of the evidence that the defendant was insane at the time of the alleged conduct. Subsection (b) provides that the parties may, with consent of the judge, agree to both: (1) dismissal of the indictment or information on the ground that the defendant was insane; and (2) entry of a judgment of dismissal due to the defendant?s insanity.

Since insanity is an affirmative defense it must be alleged and proved by a preponderance of the evidence at trial. Tex. Pen. Code 2.04. There is an exception to this rule, though. If a defendant has previously been adjudicated insane and such adjudication has not been vacated, then there is a presumption that the insanity continues and the burden is on the state to prove, beyond a reasonable doubt, that the defendant was sane at the time of the alleged offense. Riley v. State, 830 S.W.2d 584 (Tex. Crim. App. 1992).

Properly admitted opinion testimony of lay witnesses is sufficient to support a finding of insanity. Pacheco v. State, 757 S.W.2d 729 (Tex. Crim. App. 1988). And an expert witness cannot give an ultimate opinion on (in)sanity because the insanity issue is not strictly legal. Were it otherwise, the issue would be tried in hospitals rather than the courts. Graham v. State, 566 S.W.2d 941, 949 (Tex. Crim. App. 1978); see also Schuessler v. State, 719 S.W.2d 320, 329 (Tex. Crim. App. 1986), overruled on other grounds, Meraz v.

State, 785 S.W.2d 146 (Tex. Crim. App. 1990) (?if a defendant?s evidence is undisputed as to the presence of a mental disease or defect, even if it established medical insanity, it would not necessarily establish legal insanity?).

Chapter 46C addresses the procedures that are to be used in cases where insanity is an issue. 46C.051 requires the defense to file a formal notice of intent to raise the insanity defense. This notice must be served

on the State and must be filed at least 20 days prior to trial, or if before the 20-day period the court sets a pretrial hearing, the defendant shall give notice at the hearing. If the notice is not timely filed, then evidence on insanity is not admissible unless the court finds good cause for the failure to give notice. Tex. Code Crim.

Proc. Art. 46C.052.

[6] Defense counsel is urged to file such a notice if it is reasonably believed that the defense of insanity will be used. However, be aware that if notice of intention to raise the insanity defense is filed under Article 46C.051, the court may, on its own motion or motion by the defendant, the defendant?s counsel, or the attorney representing the state, appoint one or more disinterested experts to: (1) examine the defendant with regard to the insanity defense; and (2) testify as to the issue of insanity at any trial or hearing involving that issue. Tex. Code Crim. Proc. Art. 46C.101. Further, the court can compel a defendant to submit to such an examination and can even order the defendant confined for a reasonable period not to exceed 21 days to submit to the examination. Tex. Code Crim. Proc. Art. 46C.104.

According to Article 46C.154, the jury cannot be informed by the state, defense, or the court of the consequences to the defendant if a verdict of not guilty by reason of insanity is returned. This is unfair, plain and simple. ?The absurdity and injustice of this provision is that the jurors will probably not know about the extensive statutory provisions regarding the mandatory procedures to be followed by the court upon the acquittal of a defendant by reason of insanity, including provisions to protect adequately the safety of the community, and may believe?quite wrongly?that a defendant acquitted by reason of insanity is free to walk out of the courthouse at the end of the trial.? Shannon & Benson, Texas Criminal Procedure and the Offender with Mental Illness p. 147.

A. Competency Before Insanity A defendant must be evaluated for competency prior to being evaluated for insanity at the time of the offense. The focus of competency, see supra, is present ability whereas the focus of insanity is at the time of the offense. The same examiner appointed to evaluate a defendant?s competency to stand trial may also be appointed to examine the defendant with regard to sanity. However, separate written reports must be filed on the two matters. Tex. Code Crim. Proc. Art. 46C.103(a). An examiner must first evaluate a defendant for competency and may not evaluate a defendant for insanity if the examiner?s opinion is that the defendant is incompetent. Tex. Code Crim. Proc. Art. 46C.103(b).

B. NGRI Contrary to what a jury might believe, the return of a verdict of not guilty by reason of insanity is not the end of the proceedings. Upon such a verdict the court shall immediately determine whether the offense of which the person was acquitted involved conduct that: (1) caused serious bodily injury to another person; (2) placed another person in imminent danger of serious bodily injury; or (3) consisted of a threat of serious bodily injury to another person through the use of a deadly weapon. Tex. Code Crim. Proc. Art. 46C.157. If the court makes a finding under Article 46C.157, then the court retains jurisdiction over the person until

either the court discharges the person and terminates its jurisdiction?or the cumulative total period of institutionalization and outpatient or community-based treatment and supervision under the court?s jurisdiction equals the maximum term provided by law for the offense of which the person was acquitted by reason of insanity and the court?s jurisdiction is automatically terminated. Tex. Code Crim. Proc. Art. 46C.158. If the court does not so find, then the court shall proceed under subchapter E (civil commitment).

Tex. Code Crim. Proc. Art. 46C.159. Pending further proceedings after a finding of not guilty by reason of insanity, the court can order the defendant detained in jail or any other suitable place for a period not to exceed 14 days. Tex. Code Crim. Proc. Art. 46C.160.

Additionally, if a person is found not guilty by reason of insanity, the verdict is an acquittal; however, the person cannot have the record expunged under Chapter 55. Tex. Code Crim. Proc. Art. 46C.155.

C. If No Insanity, Then Diminished Capacity?

There are mentally ill defendants who are competent to proceed and not insane at the time of the commission of the offense. These defendants fall in a gray area as they cannot be labeled as incompetent or insane, but still have a mental illness that affects perception and/or functioning. The question is what can be done to defend these cases where incompetency and insanity cannot be raised.

There is no statutorily prescribed diminished-capacity defense due to mental illness in Texas. However, it is possible to introduce evidence to negate the mens rea element of the charged crime. This obviously includes the ability to introduce evidence of mental illness and how said mental illness affects or impacts on the formation of intent. The standard for admission of such evidence is relevance and the accused?s constitutional due process right to present a defense. Be aware that no jury instruction will be provided, however, given that inability to formulate the necessary mens rea is not a statutory defense.

V. Mental Health Court Jail and/or prison are particularly bad places to be for the mentally ill. Solitary confinement is a reality for many inmates with mental illness. In September 2017, Texas quietly eliminated the use of solitary confinement for punitive reasons; solitary confinement still remains an option in Texas prisons for ?administrative segregation? (gang affiliation, etc.). This is part of a larger, national shift towards reform or elimination (in some states) of the use of solitary confinement in prisons. The conditions of incarceration, and certainly solitary confinement, only serve to exacerbate the symptoms of a mentally ill inmate or provoke recurrence. Inmates with mental illness are much more likely to be injured in prison fights. The Department of Justice reported that 20% of inmates with mental illness were injured in jailhouse fights compared to 10% of inmates without mental illness. In local jails, inmates with mental illness are three times as likely to be injured. [7]Http://www.pbs.org/newshour/health/numbers-mental-illness-behind-bars (May 15, 2014) (last visited 10/30/2017). To be clear, the corrections system is not designed nor is it equipped to provide mental health treatment and/or services. There can be no doubt that some solution other than warehousing mentally ill people is necessary?and certainly more humane and civil.

In that vein, some counties have created mental health court programs for adult and/or juvenile offenders.

Mental health courts are specialty diversionary courts directed at adults and juveniles with severe mental illness. The court is created under the authority of Section 76.011 of the Government Code. It is important to be familiar with the parameters and admissions criteria for the mental health court as it provides a longoverdue positive alternative to incarceration.

VI. Mitigation Mitigating evidence is not evidence that excuses certain conduct but rather evidence that would help lessen any potential punishment received based on the conduct. Defense lawyers have a constitutional duty to

clients to fully investigate and present mitigating evidence during the punishment phase of a criminal proceeding. Williams v. Taylor, 529 U.S. 362 (2000); Wiggins v. Smith, 539 U.S. 510 (2003). In January 2011, the Texas State Bar Board of Directors adopted the ?Performance Guidelines for Non-Capital Criminal Defense Representation? (hereinafter ?Guidelines?). Performance Guidelines for Non-Capital Criminal Defense Representation, available at [8] https://www.texasbar.com/AM/Template.cfm?Section=Texas_Bar_Journal&Templ.... ?The guidelines were drafted by the State Bar Committee on Legal Service to the Poor in Criminal Matters to encourage defense attorneys to perform to a high standard of representation and to promote professionalism in the representation of citizens accused of crime.? Blackburn, J., and Marsh, A., The New Performance Guidelines in Criminal Cases: A Step Forward for Texas Criminal Justice, 74 Texas Bar Journal 7 (July 2011). ?They represent an effort to ?hold the line? for criminal defense practitioners against a host of financial and political pressures.? Id. According to Guideline 4.1, B.9 Counsel should consider whether expert or investigative as-sistance, including consultation and testimony, is necessary or appropriate. Counsel should utilize ex parte and in camera procedures to secure the assistance of experts when it is necessary or appropriate to: a. The preparation of the defense; b. Adequate understanding of the prosecution?s case; c. Rebut the prosecution?s case or provide evidence to establish an available defense; d. Investigate the client?s competence to proceed, mental state at the time of the offense, or capacity to make a know-ing and intelligent waiver of constitutional rights; and e. Mitigate any punishment that may be assessed after a ver-dict or plea of guilty to the alleged offense.

We all have our own unique experiences?both good and bad?that mold and shape us as people and the decisions we make. We all have something mitigating in our past. The amount and strength of mitigating evidence for clients with past or pres-ent mental health issues, however, is often abundant. And mental health problems are actually very common. According to [9]www.mentalhealth.gov, in 2014: One in five American adults experienced a mental health issue; One in 10 young people experienced a period of major depression; and One in 25 Americans lived with a serious mental illness, such as schizophrenia, bipolar disorder, or major depression.

The vast majority of people with mental health problems are no more likely to be violent than anyone else.

Mentalhealth.gov (last visited 10/30/17). People with mental health issues often have some sort of traumatic life experience and/or a family history of mental health problems. Mentally ill people are also grossly disproportionately victimized by violent crime. Id. Such evidence can be challenging to obtain directly from the client for many reasons. Thus, it is better practice to obtain medical records directly from providers via subpoena and provide those records directly to the defense expert, if any. In the author?s experience, it is extremely helpful to have an expert to help fully explain to the jury mental health issues and the impact those issues have had on the client?s life.

VII. Conclusion The mentally ill client is among the most challenging type of client to effectively represent. It can be discouraging and frustrating to represent a mentally ill client who repeatedly asks the same questions, completely shuts down, and/or becomes agitated at seemingly insignificant occurrences. The mentally ill client takes more of the lawyer?s time, patience, compassion, and understanding. For people with mental illnesses?who often face inordinate poverty, unemployment, crime, victimization, family breakdown, homelessness, substance use, physical health problems, and stigma?contact with the criminal justice system can exacerbate prevailing social marginalization, disrupt treatment and linkage to service systems, or represent the first occasion for treatment. Prins, Seth J., ?The Prevalence of Mental Illness in U.S. State

Prisons: A Systematic Review,? Psychiatr Serv. (online at [10] http://ncbi.nlm.nih.gov/pmc/articles/PMC4182175). As defense lawyers we are charged with protecting the constitutional rights of all those whom we represent. It is our job to speak and advocate for those who cannot do so themselves even when to do so is challenging. . © Copyright by Texas Criminal Defense Lawyers Association Web hosting and design by ChiliPepperWeb.net Source URL: http://archive.voiceforthedefenseonline.com/story/intersection-mental-illness-and-criminaljustice-system

Links: [1] http://archive.voiceforthedefenseonline.com/channel/1/stories [2] http://archive.voiceforthedefenseonline.com/source/sarah-roland [3] http://archive.voiceforthedefenseonline.com/image/intersection-mental-illness-and-criminal-justicesystem [4] http://namitexas.org/wp-content/uploads/sites/12/2014/12/2016-NAMI-Texas-Shannon-book-withcover.pdf [5] http://archive.voiceforthedefenseonline.com/image/intersection-mental-illness-and-criminal-justicesystem-1 [6] http://archive.voiceforthedefenseonline.com/image/intersection-mental-illness-and-criminal-justicesystem-2 [7] Http://www.pbs.org/newshour/health/numbers-mental-illness-behind-bars [8] https://www.texasbar.com/AM/Template.cfm?Section=Texas_Bar_Journal&Template=/CM/ContentDisplay.cfm [9] http://www.mentalhealth.gov [10] http://ncbi.nlm.nih.gov/pmc/articles/PMC4182175

Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Instant Replay | Technology in the Courtroom

Speaker:

Thomas Wynne 2828 N Harwood St Ste 1950 Dallas, TX 75201 (214) 651-1121 phone (214) 953-1366 fax thomas@mfplaw.com www.milnerfinnprice.com

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

PERSUASIVE VISUAL AIDS FOR THE COURTROOM

GAMEDAY! HOW TO TACKLE ANY COURTROOM SITUATION TCDLA October 1, 2021 El Paso, Texas Thomas Wynne MILNER FINN Dallas, Texas PERSUASIVE VISUAL AIDS FOR THE COURTROOM

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Persuasive Visual Aids For The Courtroom Introduction

There’s a multitude of different types of visual aids that can be utilized within the

courtroom setting. Becoming familiar with what visual techniques are available is essential to determine what techniques may work best for your practice. In modern day courtrooms, It’s undeniable that visual aids can drastically impact how a jury, and even judge, view a case.

Visual aids have the ability to help a jury better understand the facts of a case, relate to pertinent issues, and retain information. This paper aims to address the importance of using visual aids in the courtroom, discuss different techniques that can be effectively employed, and provide a practical approach on how to implement them into your practice.

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Get Out of Your Comfort Zone!

Oftentimes I have conversations with fellow criminal defense attorneys about how to

become a better litigator. These conversations usually revolve around the theme of the best methods/techniques of persuasively communicating with the jury or jury panel.

More often than not, during these conversations, I hear something like “using power point/ keynote just isn’t me," “I don’t have time to mess with all that technology stuff," or simply “I’m old school”. In all honesty I can understand where fellow trial attorneys are coming from when they say these things, but it doesn’t make them right.

While trial advocacy is steeped in

traditions of oral and written advocacy, it has minimal tradition of visual advocacy. Rarely is visual advocacy taught in law schools, and even more infrequently is it learned in practice.

Compounding this problem is the generality that lawyers have an inflated view of their own ability to communicate effectively using only words. This upbringing has too narrowly focused our methods of trial advocacy, and limited our ability to persuasively communicate.

Failing to use visual presentation techniques is like choosing to voluntarily get into a fist

fight with one arm tied behind your back. Sure, you may be adept enough to get away with fighting like this sometimes, but is that what’s best for your client? And why? Most of the excuses I hear for not using visual presentation tools really boil down to two things in my opinion…. fear and laziness. It’s easy to stick with our “tried and true” methods, and hard to find time to learn new skills. Furthermore, technology can be intimidating. We must learn to combat these excuses and utilize our full arsenal of persuasive techniques to better serve our clients.

While society around us evolves, we too must learn how to evolve and adapt our

courtroom communication skills, or suffer the consequences. Luckily for us, never has there been an easier time to incorporate visual persuasive techniques into our trials.

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The Importance of Visual Presentation in The Courtroom

I think we all can agree that

in order to persuasively communicate with people, or more specifically, with judges and jurors, we must be able to reach them in a manner that is consistent with “what they need” and “what they expect”.

An overwhelming amount of scientific support exists for the proposition that visual displays communicate information powerfully and effectively. Visual displays have the ability to resonate with people in a way that auditory and kinesthetic mediums just can’t. Simply put, when people want to lean something, they want to be visual stimulated. In fact, of the three primary learning styles (visual, auditory, and kinesthetic), the majority of people are primarily visual learners. 1 Additionally, techniques that combine multiple mediums of communication can drastically enhance information retention. One study of juror memory retention found that retention increased by 650 percent when oral and visual communication were utilized in conjunction with one another.2 Another study, by 3M, put this observation in more measurable terms, finding that 90% of the information transmitted to the brain is visual. Further, visuals are processed 60,000 times faster than text. For far too long have defense lawyers neglected the most influential form of communication they can use with juries.

Not only are visual presentations something that our jurors need to better comprehend

and retain the information we are trying to relay to them, it’s also what they have come to expect.

Kenneth J. Lopez, Attorney Communication Style Study 6-8 (Jan.2, 2007), available at. http://www.ceuworks.com/cme/ Animatorsatlawstudy.pdf.

1

2

Id. at 10.

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As a culture we have become inundated with visual stimulus. Whether it be in the office, or at home, we have all grown accustom to visually receiving information. Don’t believe me? Just turn on the news. News stations have become masters at conveying information to viewers concisely with simultaneous oral and visual presentation techniques. These techniques quickly grab their audiences attention, and relay the pertinent information.

Demonstrative

evidence like diagrams, charts, graphs, visual summaries, and depictions of physical objects should be a regular part of our presentation at trial.

Skillful visual presentation of key evidence and themes will engage jurors, improve their understanding of the material they are presented with, and increase their ability to recall the content of the defendant’s case during deliberations.

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Social Media Fun Facts • 78% of all Americans have at least one social networking presence; 58% have two or more.

Techniques For Developing and Using Visual Aids in the Courtroom

There are several tried-and-true evidence

presentation techniques that lawyers have used for decades: writing information on a whiteboard or easel, handing printed documents or photographs directly to the jurors, reading original testimony straight from a transcript, presenting important documents or images by mounting them on a foam core board . . . the list goes on.

While those techniques have proven to be

effective in their own right, they’re becoming

• Sixteen minutes of every hour spent online is spent on Facebook.

• More Facebook profiles (5) are created every second than there are people born (4.5).

• More than a billion tweets are sent every 48 hours.

•

Every 60 seconds, there are over 293,000 status updates posted on Facebook.

• 146 million “likes” generated every hour.

increasingly antiquated as a new generation of jurors rushes in–a generation accustomed to the latest and greatest technology our modern world has to offer. Many of today’s jurors find the presentation of evidence more effective when technology is used.

Enter the electronic courtroom, also known as the e-courtroom. While there is no set

standard, and all courtrooms will differ, many are adopting an array of new technology. This includes the use of interactive flat screen displays, webcasted testimony, use of dual screens that present several documents to the jury at once and even personal screens for each juror in the jury box.

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Visual aids can take many forms, and have the ability to be utilized through all aspects of

a trial. Examples include: • Video Recordings (e.g., a shortened clip of the arresting officer improperly administering SFST’s, your client walking and talking normally, or a tour of the scene of the alleged crime); • Physical Objects (e.g., replicas of weapons, tools/equipment used in the testing of blood/breath, • Computer Animation (e.g., a illustration of how an incident occurred); • Diagrams, Charts, and Graphs (e.g., presenting data, concepts, summary of evidence)

These are some of the easiest types of demonstrative evidence to produce, and when

done well, present ample opportunity for us to add compelling visual elements to your trial presentation . The following tips are a foundation for developing and using visual aids.

PowerPoint and Keynote

Microsoft’s PowerPoint and Apple’s Keynote are some of the most accessible and easy to

use programs when developing visual aids. To that end, this paper will primarily focus on these platforms when discussing the crafting and presentation of visual aids in the courtroom.

Additionally, I’ve included numerous articles, cheatsheets, and guides on how to effectively utilize these programs. However, a simple youtube search will provide video tutorials on how to do just how about anything on either one of these platforms. I highly suggest that you take some time watching these informative tutorials if you have any questions.

Figure Out What You Want to Say First!

One of the biggest mistakes you can make when preparing a slide show on either one of

these programs is getting your ideas out onto slides first. If properly done, designing your slides should be one of the last things you do. Instead, try following the routine below.

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1. Knowledge: Having a solid knowledge of your case is absolutely key. It will allow to convey your message naturally, and provide the foundation of your presentation.

2. Content: With great knowledge, comes great content to support your presentation. Think though the elements of your case and how visuals can support your theme and storyline.

3. Synthesis: The editing part is where most people fail the test, as it is probably the hardest and most thorough process of all. It implies getting rid of any unnecessary information, and focusing on small chunks of information that people will be able to grasp and remember. After all, people came to listen to you, not to read a manifesto from a projection. A poor editorial work is a slippery slope that leads to blasting your slides with an insane amount of data, causing the infamous Data Dump and Death by PowerPoint.

4. Outline: After you’ve successfully synthesized all the main ideas that you wish to convey, it is time to arrange all the chunks of information into a logical presentation outline. Probably the best piece of advice I can give you is to do everything up to this point without even touching your presentation software. Scribble on a piece of paper, on your iPhone or on a computer if you must, but resist the temptation of jumping into your presentation tool for drafts until you’ve PERSUASIVE VISUAL AIDS FOR THE COURTROOM

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managed to complete all the prior steps. It will only distract you, and make you waste valuable time.

Your slides should be a screenplay for your outline that engages the audience (Jury) and

allows them to easily follow along.

Slide Creation

The biggest thing to remember is that your presentation is there to support what you are

saying. The most powerful presentations are accomplished by speaking well and with good content.

That said, when creating slides try and follow the rules below.

1. No more than one idea per slide, or one image, model. Keep your slides' content simple i.e. uncluttered. Slides should not have to contain everything that will be said during the presentation.

2. If you and your slides are saying the same thing, one of you is not necessary. Technology is the medium not the message. Your slides should be more than simply your notes on a screen. The goal is not to replace your argument, but to supplement it in a way that engages the viewer and allows them to retain your message more effectively.

3. Use note or presenter view. Seeing notes on the screen adds nothing to your argument.

Adding images that help your audience visualize or more easily understand what you are saying is the goal. If you like the ability to have your notes that accompany your presentation to aid you, the notes should be in “notes” or “presenter” view and only visible to you.

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4. Follow the 3 Second Rule. To be most effective, the audience should see your slide and refocus on you (the presenter) within three-seconds. To accomplish this you need to spend time simplifying you slides so that they can be quickly and easily disseminated.

5. Keep uniformity between slide design and layout 6. Keep uniformity between the images you choose to use.

7. Keep uniformity between type face, size of text, colors etc.

8. Keep the look and feel simple.

9. Try and keep the number of slides to an absolute minimum.

10. Images are easier for the human brain to recall than text.

Best Practices/Rules of Thumb •

Simplicity is always a safer choice that is most likely going work best in your presentation design.

•

Quotes form testimony are a powerful content resource: take the time to make them stand out.

•

Not all information should be granted the same level of importance in your slide. Use focal points in order to establish visual hierarchy.

•

Big fonts work great on presentations and also forces you to keep the amount of text on the low levels.

•

An overcrowded slide is a slippery slope that leads to cognitive overload. Avoid!

•

Great images pay off. Avoid poor quality, or stocky photos.

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•

Icons are a great visual resource.

•

Nice looking slides draw attention, regardless of the content. Go the extra mile.

•

Keep graphic effects subtle. The main focus should always be the content.

•

A great way display screenshots is to show them in a vector frame of a laptop/tablet/ phone.

•

Emphasize a certain piece of information by highlighting or repeating it in a bigger, more notorious way (e.g. callouts).

•

Edit charts in order to get rid of unnecessary elements and leave only the most essential data sets.

•

Type is probably the most effective way to convey visual hierarchy in your content, so keep that in mind when you work on your presentation design.

Below is an example of slide creation I’ve shamelessly stolen from Frank Sellers.

Here you can see how Frank took a concept he wanted to convey to the jury panel in voir dire, and crafted a visceral image that added to his presentation.

1.

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2.

If a person believes he is under attack by multiple assailants, that person has the right to use any means at his command to prevent a perceived attack by one or more of those assailants a.

3.

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Practice Makes Perfect

It should go without saying that you must devote ample time to practicing your

presentation before your trial or hearing. This should include all logistics of how the presentation is being controlled, timing between slides, where you will be standing, etc… The more adept you become at using these programs the less time you will need practicing. That said, presentations can, and will, be disastrous where the presenter has no idea what will appear on the slide next, or seems entirely unfamiliar with what is on the current slide. To that sentiment “Winging it” is not a good idea. One good way to practice is simply printing out your slideshow and reading over it a few times before presenting. I like to make handwritten notes on my printouts and review them almost like flashcards. When practicing always try and keep a good idea on the time it takes to get through the presentations. Generally, the more you practice the more precise your timing will become. This can become very important when dealing with “stopwatch” judges. There’s no worse feeling that being 1/3 through your voir dire presentation and hearing “ two minutes counselor”. Practicing should mitigate potential issues, and give you complete command and ownership of the material your are presenting.

Always Have a Backup Plan

Even the most well-rehearsed

presentation will fail at some point in one way or another. Such is the rule, not the exception. When this happens, have a backup plan in place. Having hardcopies of your presentation is always a good backup.

Additionally, I like to always save my presentation on multiple different platforms. When walking into the courtroom I like to have my presentation saved to my desktop, on a flash drive, printed out, and emailed to myself. This covers most bases in the likelihood that a problem arises.

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Know Your Battlefield and Its Limitations

Know your courtroom and what it has to offer. Like “practicing” and having a “backup

plan”, knowing what technology the courtroom you will be presenting in is equipped with is vital.

Moreover, you should always be aware of what you need to bring to connect with the technology the courtroom has. Trust me, I use a Mac and have run into issues with connecting my computer to the courtroom display more than I would like to admit. To combat these issues, I like to do a complete dry run of my presentation in the actual courtroom I will be presenting in at least the day before my trial or hearing. I also like to talk to other lawyers, or court staff who regularly work in that particular courtroom. I have found that bailiffs are generally a wealth of information about not only what you will need, but also about generally courtroom logistics. I’ve had bailiffs advise me on how to cut lag time when loading up my presentation, how to best position my computer, cords, and documents for presentation, and most importantly what the Judge likes and dislikes. The court staff has seen it all, and in my experience are more than willing to help if asked. Knowing your courtroom obviously takes more time, but in the end should drastically reduce the risk of running into potential problems. Not to mention, it’s a huge stress relief to know your ready to rock-androll when you walk into the courtroom for your trial or hearing.

Conclusion

No matter how good of an orator you may be in the courtroom, if you’re not using some

type of visual presentation during your trials and hearings you’re selling yourself short, and hurting your client. Science and decades of studies have shown that listeners better receive and retain information when they can use both their eyes and ears. It’s just how our brains are wired.

Furthermore, todays modern juror has come to expect some type of visual presentation when PERSUASIVE VISUAL AIDS FOR THE COURTROOM

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walking into the courtroom. With two-thirds of the general public preferring visual communications to the spoken word, creating effective demonstratives means the difference between being an effective communicator and an ineffective one. As trial lawyers, it’s incumbent upon us to adapt and give Judge’s and jurors “what they need” and “what they expect”.

Spending time working with programs like PowerPoint and Keynote are relatively easy ways to incorporate visuals into your trials and hearings. Like any skill, it takes practice, preparation, and time to develop. I strongly encourage everyone to challenge themselves, do away with the excuses, and utilize the tools we have be given to more effectively communicate with our courtroom audience. Good Luck and Good Verdicts!

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Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Special Teams | Experts & Witnesses

Speaker:

Jolissa Jones

1923 Blodgett St Houston, TX 77004 (346) 571-1852 phone (713) 520-7000 fax jolissa@thesparkslawfirm.com

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

Criminal Defense Lawyers Project

Game Day! How to Tackle Any Courtroom Situation October 27, 2021 Courtyard Wichita Falls 3800 Tarry St. Wichita Falls, Texas 76308

Topic: Rules of the Game/Penalties | Client Relationships & Communications

Speaker:

Carol Camp

1201 Franklin St. Floor 13 Houston, TX 77002 (713) 274-6967 phone carol.camp@pdo.hctx.net

6808 Hill Meadow Dr :: Austin, Texas :: 512.478.2514 p :: 512.469.9107 f :: www.tcdla.com

ARGUMENT UNDER GROUND ONE Trial counsel’s concession of guilt during closing argument was made without Mr. Brown’s prior knowledge or consent, in violation of his Sixth and Fourteenth Amendment personal right to determine a defense.

A.

The right to determine a defense is personal to the accused. The Sixth Amendment envisions trial counsel’s role as providing assistance to the accused.

In Faretta v. California, the Supreme Court of the United States held that forcing a lawyer upon an unwilling defendant is contrary to his basic right to defend himself if he truly wants to do so.” Faretta v. California, 422 U.S. 806, 817 (1975). The Court determined that the right of an accused to represent herself was deeply rooted in the Sixth Amendment as well as in English and colonial jurisprudence. Id. at 818.

The Court emphasized that “[t]he Sixth Amendment does not provide merely that a defense shall be made for the accused; it grants to the accused personally the right to make his defense.” Id. at 819. This personal right to determine one’s own defense is “necessarily implied” in the structure of the Sixth Amendment. Id. After all, “it is [the accused] who suffers the consequences if the defense fails.” Id. at 819-20.

Counsel’s role is to “supplement” the accused’s right to determine his own defense, “and an expert, however expert, is still an assistant.” Faretta, 422 U.S. at 820.

Forcing a public defender to represent an unwilling accused, therefore, is antithetical “and the right to make a defense is stripped of [its] personal character” when counsel is permitted to assert his will in this instance. Id. As the Court acknowledged, “An

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unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” Id. at 821. In sum: Personal liberties are not rooted in the law of averages. The right to defend is personal. The defendant and not his lawyer, or the State, will bear the personal consequences of a conviction. It is the defendant, therefore, who must be free personally to decide whether in his particular case counsel is to his advantage.

And although he may conduct his own defense ultimately to his own detriment, his choice must be honored out of “that respect for the individual which is the lifeblood of the law.”

Id. at 834.

Trial counsel’s decision to concede Mr. Brown’s guilt to the jury was not a defense to which Mr. Brown acquiesced.

B.

The decision whether to admit guilt or to assert a defense at trial is a matter of client autonomy that belongs exclusively to the accused and cannot be overruled by trial counsel over the accused’s objection.

In McCoy v. Louisiana, the U.S. Supreme Court relied extensively on Faretta’s analysis to hold that although an accused is constitutionally entitled to the assistance of counsel, the Sixth Amendment does not require her to sacrifice her personal right to make important decisions, including whether to plead guilty, waive a jury trial, testify in her own defense, or to appeal. McCoy v. Louisiana, 138 S.Ct. 1500, 1508 (2018), citing Jones v. Barnes, 463 U.S. 745, 751 (1983). Specifically, the Court emphasized that “[a]utonomy to decide that the objective of the defense is assert innocence” belongs to

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the accused and that this decision “[is a] choice about what the client’s objectives in fact are.” McCoy, 138 S.Ct. at 1508 (citations omitted). “When a client expressly asserts that the objective of “his defence” is to maintain innocence of the charged criminal act, his lawyer must abide by that objective and may not override it by conceding guilt.” Id. at 1509 (emphasis in original); see also TEX. DISCIPLINARY R. PROF. CONDUCT 1.02(a)(3), which states that “a lawyer shall abide by a client’s decisions…[i]n a criminal case, after consultation with the lawyer, as to a plea to be entered…”

The Court further emphasized that “[b]ecause a client’s autonomy, not counsel’s competence, is in issue, we do not apply our ineffective-assistance-of-counsel jurisprudence,” and specifically declined to apply either Strickland v. Washington’s deficient performance and prejudice standard or U.S. v. Cronic’s abandonment of counsel at a critical stage of the proceedings framework to decide McCoy’s concession of guilt claim. Id. at 1510-11. In the Court’s view, trial counsel’s override of McCoy’s Sixth Amendment personal right to determine the objective of his defense was a profound violation of client autonomy resulting in structural error that could not be adequately measured by conducting a harmless error analysis. Id. at 1511.

C.

Although Mr. Brown’s appellate counsel raised the issue of trial counsel’s concession of guilt without Mr. Brown’s knowledge or consent on direct appeal, she asserted it as an ineffective assistance of counsel claim rather than as a violation of Mr. Brown’s Sixth and Fourteenth Amendment personal right to make a defense.

Appellate counsel raised the issue of trial counsel’s concession of guilt as ineffective assistance of counsel rather than as a client autonomy claim. The First Court of Appeals 3

analyzed the issue under U.S. v. Cronic and in passing under Strickland v. Washington. U.S. v. Cronic, 466 U.S. 648 (1984); Strickland v. Washington, 466 U.S. 668 (1984). The Court’s analysis was based on the language in Cronic stating that the adversarial process is made presumptively unreliable when trial counsel fails to subject the prosecutor’s case to meaningful adversarial testing. Brown v. State, 866 S.W.2d 675, 681 (Tex. App.— Houston [1st Dist.] 1993), pet. ref’d (Tex. Crim. App. 1994). Under this rubric, the Court concluded that “the argument as a whole did not fail to subject the prosecution’s case to meaningful adversarial testing.” Id. In its cursory Strickland analysis, the Court held that “the appellant has not shown that the result of the proceeding would have been different.” Id. The Court rejected Brown’s argument that it should consider the fact that his first trial ended in a mistrial as evidence of prejudice in the second trial. Id. The U.S. Supreme Court decided Cronic and Strickland on the same day in 1984.

Although Cronic analyzed attorney error as structural rather than requiring a prejudice analysis as Strickland mandated, neither decision specifically addressed the issue of client autonomy. In Cronic, the Court noted that “the core purpose of the counsel guarantee was to assure `Assistance’ at trial, when the accused was confronted with both the intricacies of the law and the advocacy of the public prosecutor. If no actual “Assistance” for the accused’s “defence” is provided, then the constitutional guarantee has been violated.” Cronic, 466 U.S. at 654 (citation omitted). The Court further observed that “[t]he right to the effective assistance of counsel is thus the right of the 4

accused to require the prosecution’s case to survive the crucible of meaningful adversarial testing. When a true adversarial criminal trial has been conducted—even if defense counsel may have made demonstrable errors—the kind of testing envisioned by the Sixth Amendment has occurred. But if the process loses its character as a confrontation between adversaries, the constitutional guarantee is violated.” Id. at 65657.

In Mr. Brown’s direct appeal, the First Court of Appeals cited two cases in support of its holding that trial counsel’s concession of guilt did not constitute ineffective assistance of counsel. In Hathorn v. State, 848 S.W.2d 101 (Tex. Crim. App. 1992), cert. denied, 509 U.S. 932 (1993), the Court of Criminal Appeals emphasized that there was overwhelming evidence of the defendant’s guilt and therefore, defense counsel’s decision to concede the defendant’s guilt in the hope that the jury would convict the defendant of a lesser offense was sound trial strategy. Id. at 118. Similarly, in Jordan v. State, 859 S.W.2d 418, 422 (Tex. App.—Houston [1st Dist.], 1993, no pet.), a majority of the First Court of Appeals held that defense counsel’s “less than fiery” closing argument in which counsel stated that the inconsistencies in the case were not “sufficient enough to give me rise to tell you, well, I think that’s sufficient to find this man not guilty.” Id. at 422. The Court approved of defense counsel’s trial strategy in light of the “overwhelming evidence of appellant’s guilt.” Id. Justice O’Connor dissented in Jordan. In her dissent, Justice O’Connor argued that, pursuant to Cronic, the adversarial process that the Sixth Amendment protects 5

requires counsel to act as his client’s advocate. Id. at 422. Justice O’Connor implied that trial counsel violated his client’s autonomy by conceding guilt when she noted that “[a] more direct way to refute the majority’s statement that defense counsel’s argument was not “abdication of the adversarial system” is to recall that the appellant pled not guilty.

If the appellant wanted the jury to know that he was guilty, he would have pled guilty.

The appellant had a right to a fair trial. He did not get one because his lawyer told the jury to convict him.” Id. at 423.

Justice O’Connor’s rationale in Jordan echoed Mr. Brown’s words to the trial court at the conclusion of his trial when he said “I stood up here and stated that I was not guilty. I meant that.” See Transcript of September 2, 1992 hearing, Exhibit , at 21. Although Justice O’Connor was certainly on the right track when she emphasized that Mr. Jordan’s trial counsel had no right to override his decision to maintain his innocence, she framed the issue in terms of ineffective assistance of counsel rather than as a client autonomy claim. Id. Nor did Justice O’Connor cite Faretta’s analysis of Mr. Jordan’s Sixth Amendment personal right to make a defense.

As will be discussed infra, the Texas Court of Criminal Appeals recognized that McCoy’s articulation of Sixth Amendment client autonomy is deeply rooted in Faretta’s holding that it is the accused, not trial counsel, who must decide how best to make her defense and who ultimately must live with the consequences of her decision.

D.

The Texas Court of Criminal Appeals has determined that McCoy v.

Louisiana does not constitute a new legal basis for a successive habeas petition and that the decision whether to concede guilt during trial 6

belongs exclusively to the accused.

In Ex parte Barbee, a majority of the Texas Court of Criminal Appeals held that “McCoy applied longstanding jurisprudence related to defendant autonomy and structural error”. Ex parte Barbee, 616 S.W.3d 836, 842 (Tex. Crim. App. 2021). In Barbee, the Court rejected Barbee’s assertion that McCoy provided a new legal basis for his subsequent habeas petition. The Court pointed out that “McCoy derived the defendant’s right to assert innocence against counsel’s advice from the right to decide whether to plead guilty and from his right to reject the assistance of counsel.” Id. at 842. Although “[t]rial management is the attorney’s province…some decisions belong to the defendant,” including the decision whether or not to plead guilty and waive a jury trial.

Id. (citations omitted). In support of this assertion, the Court cited both Faretta v.

California, 422 U.S. 806 (1975) and Jones v. Barnes, 463 U.S. 745 (1983). Id. The Barbee majority acknowledged that “[a]utonomy to decide that the objective of the defense is to assert innocence” is reserved for the defendant. Id. at 842. Despite the McCoy majority’s statement that “[b]ecause a client’s autonomy, not counsel’s competence, is in issue, we do not apply our ineffective-assistance-of counsel jurisprudence to McCoy’s claim”, the Barbee majority then confused the issue by engaging in an extensive discussion of U.S. Supreme Court ineffective assistance of counsel jurisprudence under U.S. v. Cronic, Strickland v. Washington, and Florida v. Nixon.

Id.; McCoy v. Louisiana, 138 S.Ct. at 1510-11; U.S. v. Cronic, 466 U.S. 648 (1984); Strickland v. Washington, 466 U.S. 668 (1984); Florida v. Nixon, 543 U.S. 175 (2004). Ultimately, the 7

Barbee majority concluded that the legal basis for Barbee’s claim that trial counsel violated his Sixth Amendment right to determine the objective of his defense could have been fashioned from the “familiar legal principles” pertaining to the division of labor between attorney and client (Jones v. Barnes), an attorney’s duty to consult with his client about important matters (Florida v. Nixon), the client’s Sixth Amendment right “to make fundamental decisions about his own defense with the assistance of counsel” (Faretta v. California), and structural error (U.S. v. Gonzalez-Lopez); Id. at 844.

Justice Walker’s concurring opinion in Barbee distinguished ineffective assistance of counsel claims brought pursuant to Cronic and client autonomy claims asserted under McCoy and emphasized that although the claims are legally dissimilar because Cronic claims are not client autonomy claims, both require a structural error analysis: Ineffective assistance of counsel under Cronic is structural because, if counsel entirely fails to subject the prosecution’s case to meaningful adversarial testing, the adversarial process itself becomes presumptively unreliable. Conversely, McCoy error is structural for at least two reasons identified by the Supreme Court in McCoy: (1) to protect the fundamental legal principle that a defendant must be allowed to make his own choices about the proper way to protect his own liberty”; and (2) the effects of the error are too hard to measure.” “[C]ounsel’s admission of a client’s guilt over the client’s express objection…blocks the defendant’s right to make fundamental choices about his own defense. And the effects of the admission would be immeasurable, because a jury would almost certainly be swayed by a lawyer’s concession of his client’s guilt.” The reason for protections provided in a Cronic claim are very different from the reasons provided in a McCoy claim. Furthermore, a Cronic claim is very different from a McCoy claim because Cronic is an ineffective assistance of counsel claim and McCoy is an autonomy claim. The Cronic opinion makes no mention of autonomy, and McCoy makes no mention of ineffective assistance of counsel except to say it does not apply.

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Id. at 851-52 (Walker, J., concurring)(internal citations omitted).

Despite his disagreement with the majority about the kind of error that the U.S. Supreme Court recognized in McCoy and whether Barbee could have fashioned his client autonomy claim by factually distinguishing Florida v. Nixon, Justice Walker concurred because Barbee “fail[ed] to set out a prima facie case that trial counsel usurped his authority to set the goals of his defense.” Barbee, 616 S.W.3d 846. Specifically, although Barbee told his trial counsel he was innocent, the trial record did “not show that he told counsel to pursue a defense of asserting innocence that counsel then overrode.” Id. Without proof that trial counsel overrode his stated defense objective of maintaining his innocence, Barbee could not overcome TEX. CODE CRIM. P. ART. 11.071 §5(a)’s subsequent writ bar.

E.

Although Mr. Brown advised trial counsel he wanted to maintain his innocence, trial counsel conceded his guilt without Mr. Brown’s prior knowledge or consent. This violation of Mr. Brown’s Sixth and Fourteenth Amendment constitutional right to make a defense is structural error for which no showing of prejudice is required.

Mr. Brown’s stated defense objective was to maintain his innocence. Before trial, he repeatedly told his trial counsel that he was innocent and that he wanted the jury to know that he did not commit the crime of which he stood accused.

According to Mr. Brown: Before trial, I explained to Mr. Reynolds that I did not commit this offense.

Moreover, I never agreed to any strategy that would have conceded my guilt in any way. I made it clear to Mr. Reynolds that I expected him to argue my innocence of all charges. That is, I never agreed to any strategy which involved 9

conceding my guilt of a lesser charge or any strategy that was inconsistent with the truth, which was that I was not guilty of any misconduct on the date of the offense. The only defense I expected Mr. Reynolds to assert was that I was innocent of this offense. I clearly communicated that to him before trial.

Unsworn Declaration of Tracy Brown Under Texas Civil Practice and Remedies Code Sec. 132.001, Exhibit

, at 1.

When trial counsel Fred Reynolds conceded Mr. Brown’s guilt during closing argument by referring to Mr. Brown as a “dope user” and a “dope head,” Mr. Brown “was blindsided by this argument because I was not guilty of any offense, had conveyed that to [Mr.] Reynolds, and had made it clear that my innocence of any crime was the only defense I expected to be asserted at trial.” Id. at 2.

Unsure of what to do after hearing Mr. Reynolds’ shocking argument, Mr. Brown “did not think I was allowed to disrupt the proceedings by standing up and saying anything or that I was permitted to stand up and object to my own lawyer’s argument.”

Id. Mr. Brown worried “about how I would look to the jury if I did that” and “was also concerned that it would upset the judge if I disrupted proceedings.” Id. As soon as the jurors retired to the jury room to deliberate, Mr. Brown informed the trial judge that he “was objecting to the closing argument that had just been made

by Reynolds” because he “had never admitted any guilt. I told the trial judge that by pleading not guilty, I meant exactly that, that I was not guilty. I never authorized Reynolds to concede my guilt of any charge.” Id.

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By objecting to trial counsel’s concession of guilt at the first available opportunity, Mr. Brown preserved his Sixth and Fourteenth Amendment claim that trial counsel violated his constitutional right to determine the objective of his defense.

The timeframe within which Mr. Brown voiced his objection to his trial counsel’s concession was endorsed in Harrison v. State, 595 S.W.3d 879 (Tex. App.—Houston [14th]), pet. ref’d (Tex. Crim. App. 2020). In Harrison, a child daycare center operator was charged with injury to a child by omission and tampering with evidence. The goal of both Harrison and her defense counsel was to avoid trial by entering a guilty plea (to prevent 6 hours of client’s statements from being admitted into evidence) and to ask the trial judge to grant a deferred adjudication. Id. at 882. After Harrison entered her no contest plea to injury to a child by omission and guilty plea to tampering with evidence, one of her attorneys spoke with the judge in chambers to inquire if he would like to see case law supporting the defense’s position that Harrison was eligible for deferred adjudication. The trial judge then commented, “A deferred on an injury to a child case where there’s a dead baby? I don’t think so.” Id. After consulting with co-counsel, trial counsel decided not to tell Harrison about the judge’s comment. Id. The judge sentenced Harrison to the maximum punishment of 20 years for injury to a child and 2 years for tampering with evidence. Id. at 881.

After sentencing, Harrison retained new counsel and filed a motion for new trial two days after learning about the trial judge’s comment. Id. at 882, 884. The trial judge recused himself. Id. at 882. Although the trial judge, trial counsel and the court 11

coordinator all confirmed that the trial judge made the comment, and Ms. Harrison testified that the entire defense objective was to enter a plea in the hope of being granted a deferred adjudication, the presiding judge denied Harrison’s motion for a new trial because she had no right to withdraw her plea and she failed to show that a jury would have given her a more lenient punishment under Strickland. Id. at 883.

The First Court of Appeals concluded that Harrison preserved error by claiming in her affidavit to her motion for new trial that she would have wanted to withdraw her plea and go to trial if her trial attorneys had told her about the trial judge’s comment.

Id. at 885. The appellate court noted that “She objected at her first opportunity after learning about the trial judge’s comment.” Id. Like Harrison, Mr. Brown’s trial attorney sandbagged him, and Mr. Brown objected to his attorney’s concession of guilt as soon as he possibly could.

The appellate court further determined that “In accordance with McCoy, the decision not to tell appellant about the judge’s statement was not a strategic choice.

That decision deprived appellant of the right to ask to change her plea, ask for a jury trial, and maintain her innocence.” Id. at 886. Similarly, in Mr. Brown’s case, trial counsel’s decision to overrule Mr. Brown’s articulated defense objective to maintain his innocence at trial deprived Mr. Brown of the presumption of innocence and effectively changed his plea from not guilty to guilty without his prior knowledge or consent.

Trial counsel’s concession of guilt constituted structural error, for which Mr. Brown need not show prejudice. As Justice Walker pointed out in his concurring 12

opinion in Ex parte Barbee, trial counsel’s concession of Mr. Brown’s guilt is structural error because it failed to respect “the fundamental legal principle that a defendant must be allowed to make his own choices about the proper way to protect his own liberty” and also because “the effects of the error are too hard to measure.” Ex parte Barbee, 616 S.W.3d at 851 (Walker, J., concurring)(citations omitted). And, as the Supreme Court of the United States noted in Faretta v. California, “[u]nless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” Faretta, 422 U.S. at 821.

It was not Mr. Brown’s defense to watch helplessly as his trial counsel conceded his guilt without notice and over his stated defense objective to maintain his innocence.

As a result, this Court should enter findings recommending that relief be granted.

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THE LAW OFFICE OF ADAM KOBS EMPLOYMENT CONTRACT STATE OF TEXAS

§ § COUNTY OF BEXAR §

KNOW ALL MEN BY THESE PRESENTS:

THAT I, John Doe, hereinafter referred to as “Client”, do by these presents employ the Law Office of Adam Kobs, hereinafter referred to as “Law Office”, of San Antonio, Texas to represent me in a certain proceeding described below. The cause number, if known, is: 123456 involving the offense or investigation of DWI, styled State v. John Doe. I hereby expressly authorize the Law Office, to handle this case in any manner deemed by it to be in my best interest. Law Office may withdraw if client refuses to cooperate.

In consideration of the legal services rendered and to be rendered by the said Law Office, I hereby agree to pay a fee of $5,000.00 payable as follows: $5,000.00 this 20th day of September, 2021. Special conditions: If a jury trial is necessary, then an additional $2,500.00 will be necessary payable immediately. Note: Trial is deemed to have commenced once the client requests a trial and an announcement of ready is made before the Court. If the balance is not timely paid, Law Office may withdraw.

It is understood, however, that the above fee does not include any appeal to the Court of Criminal Appeals at Austin, Texas, the Supreme Court of the United States, any Writ of Habeas Corpus or appeal to any federal court of the United States, nor does the above fee include any expense for preparing a record for any appeal, or any appearance before the Board of Pardons and Paroles, or in an assault case, any protective order application or hearing. It also does not include an expunction of my records if I am eligible for that. If any of these services are required, a reasonable charge will be agreed upon in advance by the parties.

It is further understood that the above fee does not include costs incurred to handle my case; I therefore agree to reimburse and pay to the Law Office within 30 days of demand for the following: large volume photocopying charges, long distance charges, computer legal research time, filing fees, court costs and service of process.

It is understood and agreed that should the case have to be retried for any reason after it has once been tried or dismissed, an additional fee will be warranted and necessary.

It is understood that the above fee does not include any expense for special investigation, expert witnesses, scientific tests, photographs, witness expense, etc. However, no such expenses will be incurred without the Client’s permission. _________ Initial

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It is expressly understood and agreed by the parties that NO PROMISES or GUARANTEES as to the outcome of the case have been made.

If Client furnishes to Counsel any document or other tangible thing prior to or during Counsel’s representation of Client, at the conclusion of this matter Client must advise and notify Counsel of each item that Client wishes returned. Counsel agrees to return such item, provided Counsel still possesses the item. It is Client’s obligation to notify counsel which, if any of the items that Client wants returned. In the event that Client fails to notify Counsel to return any item, Counsel may dispose of such items in accordance with Counsel’s policy concerning the disposal of Client files, in effect at that time. Client hereby specifically authorizes Counsel to destroy, at its option, Client’s file at any time after three years of the conclusion of Client’s case.

Conclusion of Client’s case occurs when Counsel’s representation of Client is ceased.

Law Office does not regularly check its E-Mail.

I hereby certify that all attorney’s fees paid the Law Office are from legitimate sources and not the proceeds of illegal activity.

I hereby agree that I have read and understand the above.

EXECUTED on this the 20th day of September, 2021.

__________________________ John Doe

__________________________ Adam Kobs Attorney at Law

Notice to Clients The State Bar of Texas investigates and prosecutes professional misconduct committed

by Texas attorneys. Although not every complaint against or dispute with a lawyer involves professional misconduct, the State Bar’s Office of General Counsel will provide you with information about how to file a complaint. Please call 1.800.932.1900 toll-free for more information.

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IN THE COURT OF CRIMINAL APPEALS OF TEXAS NO. WR-65,137-05

EX PARTE CLINTON LEE YOUNG, Applicant

ON APPLICATION FOR WRIT OF HABEAS CORPUS IN CAUSE NO. CR-27181-E IN THE 385TH JUDICIAL DISTRICT COURT MIDLAND COUNTY Per curiam.

OPINION This is a subsequent application for a writ of habeas corpus in a capital case filed pursuant to the provisions of Texas Code of Criminal Procedure Article 11.071, § 5. 1 Applicant was convicted of capital murder and sentenced to death in April 2003.

We affirmed his conviction and sentence on direct appeal. Young v. State, No. AP74,643 (Tex. Crim. App. Sept. 28, 2005) (not designated for publication).

1

Unless otherwise indicated, all references to Articles are to the Texas Code of Criminal Procedure.

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In March 2005, Applicant filed his initial postconviction application for a writ of habeas corpus (our -01) in the trial court, raising fourteen claims. In January, March, and June 2006, Applicant filed pleadings that we determined to be his first subsequent writ application (our -02), which raised nine additional claims. This Court denied relief on Applicant’s initial postconviction application for writ of habeas corpus and dismissed his first subsequent application as an abuse of the writ. Ex parte Young, Nos. WR-65,137-01 and WR-65,137-02 (Tex. Crim App. Dec. 20, 2006) (not designated for publication).

Applicant filed his second subsequent habeas application (our -03), in which he raised four claims, in the trial court in March 2009. This Court dismissed two of the claims as procedurally barred but found that two claims met the requirements of Article 11.071 § 5, and we remanded those claims to the trial court. Ex parte Young, No. WR-65,137-03 (Tex. Crim. App. June 3, 2009) (not designated for publication). During the remand, Applicant waived one of the remanded claims. When the case returned to this Court, we denied relief on the remaining remanded claim and dismissed the waived claim. Ex parte Young, No. WR-65,137-03 (Tex. Crim. App. June 20, 2012) (not designated for publication).

Applicant filed his third subsequent habeas application (our -04) in the trial court on October 2, 2017, raising eight claims. We found that Applicant’s first claim, in which he contends that the State unknowingly used false or misleading testimony at trial, met the requirements of Article 11.071 § 5, and we remanded that claim to the trial court for consideration. Ex parte Young, No. WR-65,137-04 (Tex. Crim. App. Oct. 18, 2017) (not

YOUNG – 3

designated for publication).

While the case was on remand, Applicant filed his fourth subsequent habeas application (our -05, which is the subject of this opinion) in the trial court on August 14, 2020. In the application, Applicant presents three claims based on newly discovered information that one of the prosecutors representing the State in Applicant’s capital murder case was also employed as a “judicial clerk” for the trial judge during Applicant’s trial and initial postconviction proceedings. We concluded that Applicant’s claims met the requirements of Article 11.071 § 5, and we remanded all three claims to the trial court for consideration. Ex parte Young, Nos. WR-65,137-04 and WR-65,137-05 (Tex. Crim.

App. Dec. 16, 2020) (not designated for publication).

RELEVANT FACTS The trial court conducted a one-day evidentiary hearing via Zoom. Four witnesses testified remotely: the current Midland County District Attorney, the chief appellate prosecutor, the County Attorney for Midland County, and one of Applicant’s appointed trial attorneys. Forty-three exhibits were admitted at the writ hearing; most were stipulated to by the parties, all were admitted without objection. The judge who presided over Applicant’s capital murder trial, Judge John Hyde, passed away in January 2012, and thus was not available to testify. Further, the record reflects that the prosecutor who was alleged to have been paid as Judge Hyde’s judicial clerk, Weldon Ralph Petty, refused to appear to testify at the writ hearing, first expressing health concerns related to possible COVID-19 exposure and later invoking his Fifth Amendment privilege against

YOUNG – 4

self-incrimination. The habeas judge found that Petty was “unavailable to testify as a witness” due to his Fifth Amendment invocation.

The evidence admitted at the writ hearing demonstrates that Petty began working for the Midland County District Attorney’s Office as a part-time prosecutor in 2001. He became a full-time prosecutor in 2002 and worked as a full-time prosecutor for the Midland County DA’s Office until his retirement in June 2019.

In 2002, when Petty began to work full-time at the DA’s office, Judge Hyde sought an opinion from Russell Malm, the County Attorney for Midland County, about whether Petty could receive pay for doing work for the district judges on habeas corpus cases in addition to his regular salary as an assistant district attorney. The concern was the constitutional prohibition against employees receiving additional compensation for work for which they were already being paid. Because Petty’s work for the judges was done on his own time, and not as part of his duties at the DA’s office, Malm concluded that Petty’s work for the judges was completely separate from his job as an assistant district attorney, and he could be paid by the county for that work. Malm made it clear at the writ hearing that his opinion was only about payment, and not about whether the dual employment would create an ethical conflict of interest.

The evidence also establishes that from 2001 through 2014 and again in 2017 and 2018, Petty was paid by the Midland County district court judges—including Judge Hyde—for “legal work” performed in connection with postconviction writs of habeas corpus. When a habeas application was filed, the judge of the convicting court assigned

YOUNG – 5

the writ to Petty. He then reviewed the file, performed any necessary research, and submitted a recommendation and a proposed order with findings of facts and conclusions of law to the assigning judge.

The evidence further shows that the District Attorney who hired Petty as a part-time prosecutor and later a full-time prosecutor, Al Schorre, knew of Petty’s employment by the district court judges, as did the First Assistant District Attorney, Teresa Clingman, who became District Attorney after Schorre. The evidence indicates, however, that the other prosecutors in the office who were involved in Applicant’s trial and subsequent postconviction proceedings were not aware of Petty’s judicial employment.

Midland County District Attorney Laura Nodolf, who was elected in 2016, discovered Petty’s judicial employment during the 2019 budget process after Petty’s retirement. She had requested money for an intake attorney and contacted the county treasurer to see if the position had been approved. The treasurer sent Nodolf a report in the form of an Excel spreadsheet with all the departments’ requests and approvals. In the report, Nodolf discovered a line-item payment from the district courts to Petty. Nodolf’s ensuing investigation revealed that Petty had been paid for working on numerous postconviction writs by multiple judges while he was working as a prosecutor for the Midland County DA’s Office. Petty confirmed to Nodolf that he had been getting paid by the district court judges while working as a prosecutor. He maintained that he worked for the judges during off hours at his home, not while he was at the office.

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On discovering Petty’s judicial employment, Nodolf went to Erik Kalenak, the chief appellate prosecutor who assisted Petty with, and later assumed responsibility for, handling Applicant’s postconviction habeas proceedings, to discern if he was aware of Petty’s judicial employment. Kalenak was not and was “shocked” when he learned of it from Nodolf. Nodolf and Kalenak realized that Petty might have been paid by the judges for work on Applicant’s capital murder case, and Kalenak immediately informed Applicant’s habeas attorney of the discovery of Petty’s judicial employment. Kalenak then filed a motion to recuse the Midland County DA’s Office from Applicant’s case, which was granted. The DA’s office then sent letters to each of the defendants for whom Petty had billed the district court judges for work on postconviction writs—some 300 plus defendants—to inform them of the “ethical situation.”

The evidence at the writ hearing also establishes that, although Schorre and Clingman were the primary prosecutors in Applicant’s capital murder trial, Petty was actively part of the prosecution team. Petty was “basically the legal advisor to [the] team that was prosecuting the case” and “probably drafted just about every single motion in that case . . . that the prosecution filed.” He also appeared in court multiple times during the trial proceedings to argue particular legal issues.

According to exhibits admitted at the writ hearing, during Applicant’s capital murder trial proceedings—specifically, from the period beginning with Applicant’s capital murder indictment on February 7, 2002, through the denial of Applicant’s motion for new trial on June 20, 2003—the district court judges collectively paid Petty $16,700.

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The exhibits further show that Judge Hyde paid Petty $7,500 while he was presiding over Applicant’s capital murder trial proceedings. 2 In addition, the exhibits and testimony establish that Petty represented the State during Applicant’s initial 11.071 and first subsequent writ proceedings before Judge Hyde. The exhibits also show that Judge Hyde paid Petty $1,500 for legal work performed in connection with Applicant’s initial postconviction application for writ of habeas corpus. This combined evidence demonstrates that, in his role as prosecutor, Petty opposed habeas relief at the writ hearings while at the same time, in his role as judicial clerk to Judge Hyde, he drafted the order recommending the denial of Applicant’s initial 11.071 writ application.

After the Zoom writ hearing, Applicant submitted proposed findings of fact and conclusions of law to the habeas judge. The State filed a document that contained two sets of the State’s proposed findings of fact and conclusions of law. Both sets conceded Petty’s judicial employment while prosecuting Applicant—and the impropriety of it—but proposed alternative dispositions: version “A” recommended denying habeas relief; version “B” recommended granting habeas relief. After some discussions, the habeas judge adopted Applicant’s proposed findings and conclusions in toto, making no additional findings or conclusions.

2

According to the evidence in the record before this Court, over the course of Petty’s judicial employment, the district court judges collectively paid Petty at least $132,900. Judge Hyde paid Petty at least $64,100.

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After the case returned to this Court, the parties filed an agreed stipulation and request for judicial notice, which asked this Court to take judicial notice of the Texas Supreme Court’s order accepting Petty’s resignation from the State Bar of Texas in lieu of disciplinary action. In the order, the Texas Supreme Court “deem[ed] the professional misconduct detailed [against Petty] conclusively established for all purposes.” That misconduct included that Petty was employed full-time as an appellate attorney with the Midland County District Attorney’s Office, while Petty was also being paid by the District Judges of Midland County to work on writs in cases to which he was assigned in the District Attorney’s office. These facts establish violations of Texas Disciplinary Rules of Professional Conduct, Rule 1.06(b)(2).

See Tex. Disciplinary Rules Prof’l Conduct R. 1.06(b)(2) (providing that, with exceptions not applicable here, “a lawyer shall not represent a person if the representation of that person reasonably appears to be or become adversely limited by the lawyer’s or law firm’s responsibilities . . . to a third person or by the lawyer’s or law firm’s own interests.”).

ANALYSIS Underlying all three claims in the instant writ application (our -05) is Applicant’s contention that Petty’s judicial employment while simultaneously prosecuting him—and the State’s failure to disclose it—violated his due process rights to an impartial judge and a fair trial.

In Claim 1, Applicant alleges that his right to an impartial judge was violated because Judge Hyde was actually biased or, if not, was presumptively biased against him

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due to the judge’s employment of Petty while Petty was representing the State at trial and in the postconviction proceedings before Judge Hyde. See Buntion v. Quarterman, 524 F.3d 664, 672 (5th Cir. 2008).

In Claim 2, Applicant contends that his right to a fair trial was violated because Judge Hyde was constitutionally disqualified, statutorily disqualified, and subject to disqualification and recusal under the Rules of Civil Procedure because he employed Petty while Petty represented the State in his court. See T EX. C ONST. art. 5, § 11; Art. 30.01; T EX. R. C IV. P. 18b(a)(1), (b)(1) & (5).

In Claim 3, Applicant asserts that the State violated his right to a fair trial because the prosecutorial misconduct pervading Applicant’s case—including Petty’s simultaneous employment for the judge presiding over Applicant’s trial proceedings and the State’s failure to disclose it—was misconduct that “shock[s] the conscience.” See Rochin v.

California, 342 U.S. 165, 172 (1952).

In its signed order, the habeas court concluded “that Applicant Clinton Young’s structural due process rights were violated” by Judge Hyde’s employment of Petty as a judicial clerk while Petty was prosecuting Applicant for capital murder before Judge Hyde. The habeas judge recommends that relief be granted.

Although we agree with the habeas judge’s ultimate conclusion that relief be granted, we decline to adopt the habeas judge’s findings of fact and conclusion of law.

We have reviewed the record with respect to Applicant’s claims. The undisputed evidence in the record establishes that an attorney working as a paid judicial clerk for the

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judge presiding over Applicant’s capital murder proceedings simultaneously represented the State against Applicant during his trial and his initial postconviction proceedings before that same judge. At the writ hearing, Assistant District Attorney Kalenak aptly described the problem with Petty’s dual role: “[Y]ou can’t serve two masters in that way.

You . . . [can] either be an impartial person that the judges are consulting, or you [can] be . . . an advocate with the District Attorney’s Office. You . . . can’t do both. I mean, that’s like professional responsibility 101.” The record demonstrates that Petty was “serving two masters.” Judge Hyde was one of the “masters,” and he allowed his “servant,” his paid judicial clerk, to represent one of the parties appearing before him in a contested legal matter—namely, Applicant’s capital murder trial.

“A fair trial in a fair tribunal is a basic requirement of due process.” In re Murchison, 349 U.S. 133, 136 (1955). Further, “fundamental to the judiciary is the public’s confidence in the impartiality of our judges and the proceedings over which they preside.” United States v. Jordan, 49 F.3d 152, 155 (5th Cir. 1995); see, e.g., Metts v.

State, 510 S.W.3d 1, 8 (Tex. Crim. App. 2016) (“Regardless of any actual bias harbored by [the trial court judge], the appearance of impropriety is palpable.”). Almost a century ago, the Supreme Court explained that “[e]very procedure which would offer a possible temptation to the average man as a judge . . . not to hold the balance nice, clear, and true between the State and the accused denies the latter due process of law.” Tumey v. Ohio, 273 U.S. 510, 532 (1927). The Supreme Court later recognized that “[s]uch a stringent rule may sometimes bar trial by judges who have no actual bias and who would do their

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very best to weigh the scales of justice equally between contending parties.” Murchison, 349 U.S. at 136. “But to perform its high function in the best way ‘justice must satisfy the appearance of justice.’” Id. (quoting Offutt v. United States, 348 U.S. 11, 14 (1954)).

Judicial and prosecutorial misconduct—in the form of an undisclosed employment relationship between the trial judge and the prosecutor appearing before him—tainted Applicant’s entire proceeding from the outset. As a result, little confidence can be placed in the fairness of the proceedings or the outcome of Applicant’s trial. The taint, the record shows, continued through Applicant’s postconviction proceedings and persisted until the revelation in 2019 of Petty’s judicial employment upon inadvertent discovery by District Attorney Nodolf. The evidence presented in this case supports only one legal conclusion: that Applicant was deprived of his due process rights to a fair trial and an impartial judge.

CONCLUSION Based on our review of the record, we grant Applicant’s request for relief, vacate Applicant’s judgment of conviction, and order that Applicant be remanded to the custody of the Sheriff of Midland County to answer the charge set out in the indictment.

Delivered: September 22, 2021 Do Not Publish

GAME DAY: PLAYING BY THE RULES In football, one objective is to play a game as penalty-free as possible. To avoid committing unnecessary and potentially devastating penalties, here are the applicable rules you need to keep in mind to enable you and your client to get the ball across the goal line.

Here in Texas, the ethical rules to which lawyers must adhere are codified in the Texas Disciplinary Rules of Professional Conduct, Tex. Govt. Code Ann., Title 2, Subtitle G, Appendix A, Article 10, §9. This paper will review the rules that criminal defense attorneys frequently encounter while representing their clients.

The Preamble to the disciplinary rules sets forth aspirational standards which lawyers should strive to achieve. Clearly, lawyers are expected to wear several different hats while representing their clients. Not only do lawyers have to represent their clients; they must also act as officers of the legal system, public citizens, and guardians of the law. While representing clients, lawyers must act as negotiators, advocates, advisors, intermediaries, and evaluators.

How must a lawyer perform these roles? Paragraph 3 of the Preamble requires lawyers to zealously pursue their clients’ interests “within the bounds of law” while being “competent, prompt and diligent.” Additionally, lawyers must maintain communication with their clients and only disclose information in accordance with the disciplinary rules or applicable law.

The Preamble also emphasizes that lawyers “should seek improvement of the law, the administration of justice and the quality of service rendered by the legal profession.” As public citizens, lawyers should strive to provide legal services to those who cannot afford to retain counsel and “to devote professional time and civic influence in their behalf.” Although such service is not required, the Preamble clearly states that “[t]he provision of legal services to those unable to pay reasonable fees is a moral obligation of each lawyer as well as the profession generally.”

Perhaps most importantly, the Preamble reminds us that “[e]ach lawyer’s own conscience is the touchstone”, and that the risk of losing the public’s confidence and respect “is the ultimate sanction.” The practice of law is a “noble profession…[t]his is its greatness and its strength, which permit of no compromise.”

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Duties of lawyers to their clients Competency and diligence Rule 1.01. Competent and Diligent Representation (a) A lawyer shall not accept or continue employment in a legal matter which the lawyer knows or should know is beyond the lawyer's competence, unless: (1) another lawyer who is competent to handle the matter is, with the prior informed consent of the client, associated in the matter; or (2) the advice or assistance of the lawyer is reasonably required in an emergency and the lawyer limits the advice and assistance to that which is reasonably necessary in the circumstances. (b) In representing a client, a lawyer shall not: (1) neglect a legal matter entrusted to the lawyer; or (2) frequently fail to carry out completely the obligations that the lawyer owes to a client or clients.

(c) As used in this Rule, “neglect” signifies inattentiveness involving a conscious disregard for the responsibilities owed to a client or clients.

“Competent” or “Competence” is defined as “possession or the ability to timely acquire the legal knowledge, skill, and training reasonably necessary for the representation of the client.”

“Reasonable” or “Reasonably” refers to “the conduct of a reasonably prudent and competent lawyer.”

To determine whether a particular legal matter is beyond a lawyer’s competence, several factors must be taken into consideration. These include the complexity and specialized nature of the legal matter; the lawyer’s general experience in the particular field; the preparation and study the lawyer will be able to give to the matter; and whether the lawyer can refer the matter to another lawyer or associate with a lawyer who is competent to handle the matter.

The comments emphasize that a lawyer can still accept employment in a matter with which she is unfamiliar and that the appropriate level of proficiency required in most matters is that of a general practitioner.

If the additional study and preparation a lawyer must do to become competent in a particular field will cause the client to incur undue delay or expense, the client must consent to the lawyer doing what she needs to do to become proficient enough to handle the matter.

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The comments further emphasize that a lawyer must act with competence, diligence, and dedication to the client’s interests, and advocate zealously for her clients.

Procrastination is discouraged because it can potentially destroy a client’s legal position (i.e., missing a statute of limitations.)

The final comment to the rule recognizes the importance of technology, and states that “each lawyer should strive to become proficient and competent in the practice of law, including the benefits and risks associated with relevant technology.”

Not surprisingly, a lawyer’s competency in the use of technology has increasingly become the subject of ethics opinions. See, e.g., Tex. Comm. on Prof. Ethics, Op. 680 (Sept. 2018)(stating that “a lawyer should remain reasonably aware of changes in technology and the associated risks” and “a lawyer must take reasonable precautions in the adoption and use of cloud-based technology for client document and data storage or the creation of client-specific documents that require client confidential information. These reasonable precautions include: (1) acquiring a general understanding of how the cloud technology works; (2) reviewing the “terms of service” to which the lawyer submits when using a specific cloud-based provider just as the lawyer should do when choosing and supervising other types of service providers; (3) learning what protections already exist within the technology for data security; (4) determining whether additional steps, including but not limited to the encryption of client confidential information, should be taken before submitting that client information to a cloud-based system; (5) remaining alert as to whether a particular cloud-based provider is known to be deficient in its data security measures or is or has been unusually vulnerable to “hacking” of stored information; and (6) training for lawyers and staff regarding appropriate protections and considerations.

These precautions do not require lawyers to become experts in technology; however, they do require lawyers to become and remain vigilant about data security issues from the outset of using a particular technology in connection with client confidential information.”)

See also Tex. Comm. on Prof. Ethics, Op. 665 (Dec. 2016)(“In the opinion of the Committee, a lawyer’s duty of competence requires that lawyers who use electronic documents understand that metadata is created in the generation of electronic documents, that transmission of electronic documents will include transmission of metadata, that the transmitted metadata may include confidential information, that recipients of the documents can access metadata, and that actions can be taken to prevent or minimize the transmission of metadata. Lawyers therefore have a duty to take reasonable measures to avoid the transmission of confidential information embedded in electronic documents, including the employment of reasonably available technical means to remove such metadata before sending such documents to persons 3

to whom such confidential information is not to be revealed pursuant to the provisions of Rule 1.05. Commonly employed methods for avoiding the disclosure of confidential information in metadata include the use of software to remove or “scrub” metadata from the document before transmission, the conversion of the document into another format that does not preserve the original metadata, and transmission of the document by fax or hard copy.”)

Scope of representation Rule 1.02. Scope and Objectives of Representation (a) Subject to paragraphs (b), (c), (d), (e), and (f), a lawyer shall abide by a client's decisions: (1) concerning the objectives and general methods of representation; (2) whether to accept an offer of settlement of a matter, except as otherwise authorized by law; (3) In a criminal case, after consultation with the lawyer, as to a plea to be entered, whether to waive jury trial, and whether the client will testify. (b) A lawyer may limit the scope, objectives and general methods of the representation if the client consents after consultation. (c) A lawyer shall not assist or counsel a client to engage in conduct that the lawyer knows is criminal or fraudulent. A lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel and represent a client in connection with the making of a good faith effort to determine the validity, scope, meaning or application of the law. (d) When a lawyer has confidential information clearly establishing that a client is likely to commit a criminal or fraudulent act that is likely to result in substantial injury to the financial interests or property of another, the lawyer shall promptly make reasonable efforts under the circumstances to dissuade the client from committing the crime or fraud. (e) When a lawyer has confidential information clearly establishing that the lawyer's client has committed a criminal or fraudulent act in the commission of which the lawyer's services have been used, the lawyer shall make reasonable efforts under the circumstances to persuade the client to take corrective action. (f) When a lawyer knows that a client expects representation not permitted by the rules of professional conduct or other law, the lawyer shall consult with the client regarding the relevant limitations on the lawyer's conduct.

The comments to Rule 1.02 make it clear that the lawyer and client should ideally work together as a team. While the ultimate objectives of the representation are for the client to decide, the attorney’s job is to “assume responsibility for the means by which the 4

client’s objectives are best achieved.” This gives the lawyer “very broad discretion to determine technical and legal tactics” while considering the cost to the client and being mindful of how third parties might be affected.

The rule does not require a lawyer to convey a settlement offer or a potential plea bargain to a client if the proposal would clearly be unacceptable to the client (as determined by the lawyer’s prior communications with the client.) However, a common complaint of clients in post-conviction proceedings is that their attorneys did not communicate with them about potential plea offers, so the better practice may be to convey any and all plea offers to the client.

Recently, the Supreme Court of the United States held that an attorney cannot concede a client’s guilt during opening statement over the client’s objection. McCoy v. Louisiana, 138 S.Ct. 1500, 1509 (2018). Specifically, the Court emphasized that “[a]utonomy to decide that the objective of the defense is assert innocence” belongs to the accused and that this decision “[is a] choice about what the client’s objectives in fact are.” McCoy, 138 S.Ct. at 1508 (citations omitted). “When a client expressly asserts that the objective of “his defence” is to maintain innocence of the charged criminal act, his lawyer must abide by that objective and may not override it by conceding guilt.” Id. at 1509 (emphasis in original.)

The McCoy majority considered the issue to be one of client autonomy and relied on Faretta v. California to come to this conclusion. In Faretta, the Supreme Court held that the accused had a right to represent himself and if competent to do so, could not be required to have a public defender represent him. Faretta v. California, 422 U.S. 806, 817 (1975).

The Court emphasized that “[t]he Sixth Amendment does not provide merely that a defense shall be made for the accused; it grants to the accused personally the right to make his defense.” Id. at 819. This personal right to determine one’s own defense is “necessarily implied” in the structure of the Sixth Amendment. Id. After all, “it is [the accused] who suffers the consequences if the defense fails.” Id. at 819-20.

Counsel’s role is to “supplement” the accused’s right to determine his own defense, “and an expert, however expert, is still an assistant.” Faretta, 422 U.S. at 820. Forcing a public defender to represent an unwilling accused, therefore, is antithetical “and the right to make a defense is stripped of [its] personal character” when counsel is permitted to assert his will in this instance. Id. As the Court acknowledged, “An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense 5

presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” Id. at 821. In sum: Personal liberties are not rooted in the law of averages. The right to defend is personal. The defendant and not his lawyer, or the State, will bear the personal consequences of a conviction. It is the defendant, therefore, who must be free personally to decide whether in his particular case counsel is to his advantage.

And although he may conduct his own defense ultimately to his own detriment, his choice must be honored out of “that respect for the individual which is the lifeblood of the law.”

Id. at 834.

A lawyer may limit the scope of representation in a written retainer agreement that states a specific objective. The agreement may exclude specific objectives or means that the parties consider to be imprudent or repugnant. The retainer agreement must comply with the disciplinary rules and cannot require the client to give up terminating the lawyer’s services or the right to settle or continue the litigation, even if the lawyer would handle the matter differently.

Unless the representation is terminated in accordance with Rule 1.15, the lawyer should continue to represent the client until all matters undertaken on the client’s behalf have concluded. If the representation is limited in scope, it ends when the matter or matters have been resolved. If the matter was decided against the client, and if the lawyer has not been instructed about pursuing an appeal, the lawyer should advise the client of her right to appeal.

A recurring issue we see in writ cases is attorneys failing to advise their criminal clients of their right to pursue an appeal and/or to file a petition for discretionary review in the Texas Court of Criminal Appeals if the client loses her appeal in an intermediate appellate court. Even if a lawyer does not intend to represent her client on appeal in a criminal case, the lawyer must advise her client of her right to file a pro se notice of appeal and file a motion to withdraw.

Trial counsel’s obligations to her client “do not magically and automatically terminate at the end of the trial.” Ward v. State, 740 S.W.2d 794, 796 (Tex. Crim. App. 1987).

Regardless of whether trial counsel is retained or court-appointed, …trial counsel…has the duty, obligation and responsibility to consult with and fully to advise his client concerning meaning and effect of the judgment rendered by the court, his right to appeal from that judgment, the necessity of giving notice 6

of appeal and taking other steps to pursue an appeal, as well as expressing his professional judgment as to possible grounds for appeal and their merit, and delineating advantages and disadvantages of appeal. The decision to appeal belongs to the client.

Ex parte Axel, 757 S.W.2d 369, 374 (Tex. Crim. App. 1988); see also American Bar Association, Criminal Justice Standards for the Defense Function (4th ed. 2017), Standards 49.1(a)-(d); 4-9.2(i)(describing trial counsel’s continuing obligation to protect client’s appellate remedies upon conclusion of trial.)

If trial counsel does not withdraw, he “still represents [the client] on appeal.” Ward, 740 S.W.2d at 796 (citation omitted.) [Trial] “counsel may seek the trial court’s permission to withdraw at any time so long as the defendant’s appellate rights are protected, the appellant is given notice of withdrawal, and the trial court’s signed order permitting withdrawal is in the record, and if the defendant is still indigent, substitute counsel is appointed.” Id. at 797 (citation omitted.)

In other words, “[trial] counsel can’t be permitted simply to bow out without notice either to court or client and frustrate forever the right of the client to protect his vital interests.” Atilus v. U.S., 406 F.2d 694, 696 (5th Cir. 1969).

A lawyer may not knowingly assist a client in committing criminal or fraudulent conduct. She cannot reveal the client’s wrongdoing except as permitted under Rule 1.05. Nor can the lawyer further the client’s unlawful purpose or continue assisting the client upon discovering the client’s misconduct. The lawyer may have to withdraw from the client’s case. The lawyer must use reasonable efforts to dissuade the client from committing a crime or fraud, and if the client has utilized the lawyer’s services to engage in such conduct, the lawyer must use reasonable efforts to persuade the client to take corrective action.

Communicating with clients Rule 1.03. Communication (a) A lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information. (b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.

A lawyer must provide her client with enough information about the objectives of the representation to enable the client to participate intelligently in discussions about the 7

objectives and how to accomplish them to the extent that the client is willing and able to engage in discussions of these issues. The lawyer should provide her client with sufficient information to enable a comprehending and responsible adult to make informed decisions. A lawyer may be prevented by a court order or rule from disclosing information to a client. Disclosure of information may be delayed when a lawyer reasonably believes that a client would act imprudently if the information was disclosed immediately.

A lawyer must strive to maintain reasonable communication with a client who suffers from diminished capacity and treat the client with attention and respect.

In Hines v. Comm’n for Lawyer Discipline, 28 S.W.3d 697 (Tex. App.—Corpus Christi 2000), no pet., appellant agreed to represent Nancy Hennessy in a child support enforcement proceeding after her former attorney moved to Fort Worth. Appellant met with Hennessy, her husband, and son and Hennessy paid appellant $500 to represent her at the hearing. Hennessy’s ex-husband did not appear at the hearing and could not be located, so the hearing was reset. Appellant represented Hennessy at the rescheduled hearing, but the judge dismissed Hennessy’s case because her pleadings were defective.

Although appellant told Hennessy she could appeal, he did not prepare any paperwork and did not maintain contact with Hennessy. Id. at 699.

Both the trial and appellate courts held that appellant violated Rules 1.03(a), 1.03(b), and 1.15(d). Appellant accepted money to represent Hennessy, did not amend her defective pleadings, failed to inform her of her options after the judge ruled against her, did not respond to reasonable requests for information, and failed to protect her interests after he stopped representing her. Moreover, appellant never told Hennessy verbally or in writing that he was no longer representing her. Id. at 701-02.

Fee agreements Rule 1.04. Fees (a) A lawyer shall not enter into an arrangement for, charge, or collect an illegal fee or unconscionable fee. A fee is unconscionable if a competent lawyer could not form a reasonable belief that the fee is reasonable. (b) Factors that may be considered in determining the reasonableness of a fee include, but not to the exclusion of other relevant factors, the following: (1) the time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly; (2) the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer; 8

(3) the fee customarily charged in the locality for similar legal services; (4) the amount involved and the results obtained; (5) the time limitations imposed by the client or by the circumstances; (6) the nature and length of the professional relationship with the client; (7) the experience, reputation, and ability of the lawyer or lawyers performing the services; and (8) whether the fee is fixed or contingent on results obtained or uncertainty of collection before the legal services have been rendered. (c) When the lawyer has not regularly represented the client, the basis or rate of the fee shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation. (d) A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by paragraph (e) or other law. A contingent fee agreement shall be in writing and shall state the method by which the fee is to be determined. If there is to be a differentiation in the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal, the percentage for each shall be stated. The agreement shall state the litigation and other expenses to be deducted from the recovery, and whether such expenses are to be deducted before or after the contingent fee is calculated. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement describing the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination. (e) A lawyer shall not enter into an arrangement for, charge, or collect a contingent fee for representing a defendant in a criminal case. (f) A division or arrangement for division of a fee between lawyers who are not in the same firm may be made only if: (1) the division is: (i) in proportion to the professional services performed by each lawyer; or (ii) made between lawyers who assume joint responsibility for the representation; and (2) the client consents in writing to the terms of the arrangement prior to the time of the association or referral proposed, including: (i) the identity of all lawyers or law firms who will participate in the fee-sharing agreement, and (ii) whether fees will be divided based on the proportion of services performed or by lawyers agreeing to assume joint responsibility for the representation, and (iii) the share of the fee that each lawyer or law firm will receive or, if the division is based on the proportion of services performed, the basis on which the division will be made; and (3) the aggregate fee does not violate paragraph (a). (g) Every agreement that allows a lawyer or law firm to associate other counsel in the representation of a person, or to refer the person to other counsel for such 9

representation, and that results in such an association with or referral to a different law firm or a lawyer in such a different firm, shall be confirmed by an arrangement conforming to paragraph (f). Consent by a client or a prospective client without knowledge of the information specified in subparagraph (f)(2) does not constitute a confirmation within the meaning of this rule. No attorney shall collect or seek to collect fees or expenses in connection with any such agreement that is not confirmed in that way, except for: (1) the reasonable value of legal services provided to that person; and (2) the reasonable and necessary expenses actually incurred on behalf of that person. (h) Paragraph (f) of this rule does not apply to payment to a former partner or associate pursuant to a separation or retirement agreement, or to a lawyer referral program certified by the State Bar of Texas in accordance with the Texas Lawyer Referral Service Quality Act, Tex. Occ. Code 952.001 et seq., or any amendments or recodifications thereof.

A lawyer is subject to discipline for charging an unconscionable or illegal fee. The factors underlying a lawyer’s fee should be set forth in writing. It is sufficient to provide a client with a memorandum or fee schedule setting forth the basis of the fee.

Contingent fee agreements must be in writing and are not appropriate in divorce proceedings.

Lawyers may divide fees on the basis of the proportion of services each lawyer renders or if each lawyer assumes joint responsibility for representing the client. A client must consent in writing to the terms of a referral or association of lawyers prior to the commencement of the referral or arrangement.

Lawyers are encouraged to submit to fee resolution procedures offered by local bar associations. Several local bar associations assist lawyers and clients in resolving fee disputes and there are also regional fee dispute resolution centers that can assist with these issues.

A sample fee agreement is attached to this paper.

Confidentiality Rule 1.05. Confidentiality of Information (a) “Confidential information” includes both “privileged information” and “unprivileged client information.” “Privileged information” refers to the information of a client protected by the lawyer-client privilege of Rule 503 of the Texas Rules of Evidence or of Rule 503 of the Texas Rules of Criminal Evidence or by the principles 10

of attorney-client privilege governed by Rule 501 of the Federal Rules of Evidence for United States Courts and Magistrates. “Unprivileged client information” means all information relating to a client or furnished by the client, other than privileged information, acquired by the lawyer during the course of or by reason of the representation of the client. (b) Except as permitted by paragraphs (c) and (d), or as required by paragraphs (e) and (f), a lawyer shall not knowingly: (1) Reveal confidential information of a client or a former client to: (i) a person that the client has instructed is not to receive the information; or (ii) anyone else, other than the client, the client's representatives, or the members, associates, or employees of the lawyer's law firm.

(2) Use confidential information of a client to the disadvantage of the client unless the client consents after consultation.

(3) Use confidential information of a former client to the disadvantage of the former client after the representation is concluded unless the former client consents after consultation or the confidential information has become generally known.

(4) Use privileged information of a client for the advantage of the lawyer or of a third person, unless the client consents after consultation. (c) A lawyer may reveal confidential information: (1) When the lawyer has been expressly authorized to do so in order to carry out the representation.

(2) When the client consents after consultation.

(3) To the client, the client's representatives, or the members, associates, and employees of the lawyer's firm, except when otherwise instructed by the client.

(4) When the lawyer has reason to believe it is necessary to do so in order to comply with a court order, a Texas Disciplinary Rules of Professional Conduct, or other law.

(5) To the extent reasonably necessary to enforce a claim or establish a defense on behalf of the lawyer in a controversy between the lawyer and the client.

(6) To establish a defense to a criminal charge, civil claim or disciplinary complaint against the lawyer or the lawyer's associates based upon conduct involving the client or the representation of the client.

(7) When the lawyer has reason to believe it is necessary to do so in order to prevent the client from committing a criminal or fraudulent act.

(8) To the extent revelation reasonably appears necessary to rectify the consequences of a client's criminal or fraudulent act in the commission of which the lawyer's services had been used.

(9) To secure legal advice about the lawyer’s compliance with these Rules.

(10) When the lawyer has reason to believe it is necessary to do so in order to prevent the client from dying by suicide. (d) A lawyer also may reveal unprivileged client information: (1) When impliedly authorized to do so in order to carry out the representation.

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(2) When the lawyer has reason to believe it is necessary to do so in order to: (i) carry out the representation effectively; (ii) defend the lawyer or the lawyer's employees or associates against a claim of wrongful conduct; (iii) respond to allegations in any proceeding concerning the lawyer's representation of the client; or (iv) prove the services rendered to a client, or the reasonable value thereof, or both, in an action against another person or organization responsible for the payment of the fee for services rendered to the client. (e) When a lawyer has confidential information clearly establishing that a client is likely to commit a criminal or fraudulent act that is likely to result in death or substantial bodily harm to a person, the lawyer shall reveal confidential information to the extent revelation reasonably appears necessary to prevent the client from committing the criminal or fraudulent act. (f) A lawyer shall reveal confidential information when required to do so by Rule 3.03(a)(2), 3.03(b), or by Rule 4.01(b).

Rule 1.05 protects against the unauthorized disclosure of both confidential privileged and unprivileged client information. In criminal cases, attorney-client privilege is defined in Texas Rule of Criminal Evidence 503. Rule 503 and enables a client to refuse to disclose and to prevent any other person “from disclosing confidential communications made to facilitate the rendition of professional legal services to the client.” In criminal cases, a client may prevent a lawyer or a lawyer’s representative “from disclosing any other fact that came to the knowledge of the lawyer or the lawyer’s representative by reason of the attorney-client relationship.”

Individuals who may claim the privilege include a client, her guardian or conservator, her personal representative (if the client is deceased), or a successor, trustee, or representative of a corporation, association, or other entity, even if the entity no longer exists. A client’s lawyer or lawyer’s representative when the communication was made is presumed to have the authority to claim the privilege on the client’s behalf.

The attorney-client privilege does not apply if the lawyer’s services were sought to enable anyone to commit or plan to commit what the client should reasonably know is a crime or fraud; to communications pertaining to issues between parties claiming through the same deceased client; to breaches of duty by either a lawyer to a client or a client to a lawyer; to attested documents when a lawyer is the attesting witness; and to communications between joint clients when made to a lawyer in an action between the clients on a matter of common interest.

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A lawyer may not use confidential information to the client’s disadvantage, or to the advantage of the lawyer or a third person unless the client consents after consultation.

Nor can a lawyer use a former client’s confidential information to the former client’s disadvantage unless the former client consents after consultation or the information has become generally known.

A lawyer may reveal confidential information when expressly authorized to do so; when the client has consented after consultation; when the lawyer has reason to believe disclosure is necessary to comply with a court order, the disciplinary rules, or other law; to the extent reasonably necessary to enforce a claim or establish a defense in a dispute between the lawyer and the client; to defend against a civil claim, criminal charge, or disciplinary complaint against the lawyer or her associates by the client or client’s representative; when the lawyer has reason to believe that disclosure is necessary to prevent the client from committing a crime or fraudulent act; when necessary to rectify a client’s criminal or fraudulent act when the lawyer’s services have been utilized in its commission; to obtain legal advice about a lawyer’s compliance with the disciplinary rules; and when the lawyer has reason to believe that the disclosure is needed to prevent the client from committing suicide. Additionally, a lawyer may disclose confidential information to the client, client’s representative, and members, associates, and employees of her law firm, unless the client instructs her not to do so.

When the threatened injury due to a client’s decision to commit a crime or fraud is grave, the lawyer’s interest in preventing the harm from occurring may be greater than protecting the client’s confidential information. In this scenario, the lawyer has professional discretion to reveal both privileged and unprivileged information to prevent the commission of the fraudulent or criminal act.

Except when death or serious bodily injury is involved, a lawyer is obligated to dissuade the client from committing the criminal or fraudulent act or to persuade the client to take corrective measures.

If the lawyer’s services will be used by the client to materially further criminal or fraudulent conduct, the lawyer must withdraw.

Loyalty Rule 1.06. Conflict of Interest: General Rule (a) A lawyer shall not represent opposing parties to the same litigation. (b) In other situations and except to the extent permitted by paragraph (c), a lawyer shall not represent a person if the representation of that person: 13

(1) involves a substantially related matter in which that person's interests are materially and directly adverse to the interests of another client of the lawyer or the lawyer's firm; or (2) reasonably appears to be or become adversely limited by the lawyer's or law firm's responsibilities to another client or to a third person or by the lawyer's or law firm's own interests. (c) A lawyer may represent a client in the circumstances described in (b) if: (1) the lawyer reasonably believes the representation of each client will not be materially affected; and (2) each affected or potentially affected client consents to such representation after full disclosure of the existence, nature, implications, and possible adverse consequences of the common representation and the advantages involved, if any. (d) A lawyer who has represented multiple parties in a matter shall not thereafter represent any of such parties in a dispute among the parties arising out of the matter, unless prior consent is obtained from all such parties to the dispute. (e) If a lawyer has accepted representation in violation of this Rule, or if multiple representation properly accepted becomes improper under this Rule, the lawyer shall promptly withdraw from one or more representations to the extent necessary for any remaining representation not to be in violation of these Rules. (f) If a lawyer would be prohibited by this Rule from engaging in particular conduct, no other lawyer while a member or associated with that lawyer's firm may engage in that conduct.

If an impermissible conflict of interest exists before undertaking the representation of a client, the lawyer should decline the representation. If the conflict arises after the representation begins, the lawyer must act to eliminate the conflict, and may even have to withdraw from the case.

As a general rule, a lawyer may not represent opposing parties in litigation. Parties are opponents when a judgment in favor of one party would directly and unfavorably affect the other party. Additionally, a lawyer is generally prohibited from undertaking representation directly adverse to a client in a substantially related matter unless the client consents after consultation and the lawyer reasonably believes that her representation will be reasonably protective of the client’s interests.

A lawyer’s loyalty to her client must also not be blinded by her own interests. If the lawyer cannot consider, recommend, or carry out an appropriate course of action for one client because of her obligations to other clients or her own interests, there is a conflict. A lawyer’s independence and professional judgment must not be compromised. If a disinterested lawyer would conclude that the client should not agree 14

to the representation under the circumstances, the lawyer should not ask the client to agree to the representation or provide the representation based on the client’s consent.

A lawyer may be paid by someone other than the client, provided that the client is informed and consents to the arrangement and the lawyer’s duty of loyalty to the client is not compromised. This happens in juvenile cases when the child’s parents retain the lawyer and the juvenile is the client. The lawyer’s duty of loyalty is to the child, not to her parents.

On September 22, 2021, the Texas Court of Criminal Appeals granted habeas relief to a capital petitioner, Clinton Lee Young, on his fifth (!) habeas petition because investigation revealed that Weldon Petty, an appellate assistant district attorney, violated Mr. Young’s right to a fair trial by working as a paid law clerk for the judge who presided over Young’s capital murder trial while simultaneously representing the State of Texas against Young during his trial and initial capital habeas proceedings. See Ex parte Young, No. WR-65, 137-05 (Tex. Crim. App. Sept. 22, 2021).

The evidence adduced at Young’s writ hearing revealed that Petty was an integral member of the team that prosecuted Young and sent him to death row. Petty wrote most of the motions that were filed on the State’s behalf and appeared in court several times to argue legal issues. Id. at 6. As a paid law clerk in habeas cases for the same judge who presided over Young’s trial and initial habeas proceedings, Petty reviewed filed writs, performed legal research, and submitted a recommendation and proposed order containing findings of fact and conclusions of law to the assigning judge. Id. at 45. During his tenure as a judicial clerk, Petty earned at least $132,000. Id. at 7, n.2.

Petty resigned from the state bar in lieu of disciplinary action. The Texas Supreme Court determined that Petty’s dual employment violated Rule 1.06(b)(2). Id. at 8.

Safekeeping property Rule 1.14. Safekeeping Property (a) A lawyer shall hold funds and other property belonging in whole or in part to clients or third persons that are in a lawyer's possession in connection with a representation separate from the lawyer's own property. Such funds shall be kept in a separate account, designated as a “trust” or “escrow” account, maintained in the state where the lawyer's office is situated, or elsewhere with the consent of the client or third person. Other client property shall be identified as such and appropriately safeguarded. Complete records of such account funds and other property shall be 15

kept by the lawyer and shall be preserved for a period of five years after termination of the representation. (b) Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third person, shall promptly render a full accounting regarding such property. (c) When in the course of representation a lawyer is in possession of funds or other property in which both the lawyer and another person claim interests, the property shall be kept separate by the lawyer until there is an accounting and severance of their interest. All funds in a trust or escrow account shall be disbursed only to those persons entitled to receive them by virtue of the representation or by law. If a dispute arises concerning their respective interests, the portion in dispute shall be kept separated by the lawyer until the dispute is resolved, and the undisputed portion shall be distributed appropriately.

Lawyers are fiduciaries with respect to the property of clients and third parties. Property belonging to clients and third parties must be kept separate from the lawyer’s business and personal property. Client funds must be placed in a trust account and the lawyer must maintain complete records of all client and third party property and funds in the lawyer’s possession.

If there is a fee dispute between the lawyer and the client, the lawyer must hold the disputed portion of the funds in trust and promptly return any undisputed funds to the client. In Texas, many local bar associations offer fee dispute resolution services, and there are also regional dispute resolution centers. When a client prepays a fee, that fee belongs to the client until the lawyer until the services have been rendered. Upon notifying the client that the work has been completed, if there is no dispute, the lawyer can then withdraw the fee earned for services rendered from the separate trust account.

In Bellino v. Comm’n for Lawyer Discipline, 124 S.W.3d 380 (Tex. App.—Dallas 2003), pet. denied (Tex. 2004), attorney Bellino committed several ethical violations, including violations of Rule 1.14. First, Bellino violated Rule 1.14(a) in one case by depositing settlement funds into his own bank account. Id. at 387. Second, Bellino failed to provide another client with a full accounting of funds he received on the client’s behalf, in violation of Rule 1.14(b). Id. And third, Bellino failed to pay a chiropractor his full fee, despite sending the chiropractor a letter of protection offering to pay the chiropractor his fee from any settlement proceeds received in the case. Although Bellino did pay the chiropractor $2500 of the chiropractor’s $6517 fee, Bellino withheld the balance and 16

demanded that the chiropractor release the rest of his claim. Bellino’s conduct violated Rule 1.14(b) because Bellino failed to promptly deliver funds to a third party.

Declining or terminating representation Rule 1.15. Declining or Terminating Representation (a) A lawyer shall decline to represent a client or, where representation has commenced, shall withdraw, except as stated in paragraph (c), from the representation of a client, if: (1) the representation will result in violation of Rule 3.08, other applicable rules of professional conduct or other law; (2) the lawyer's physical, mental or psychological condition materially impairs the lawyer's fitness to represent the client; or (3) the lawyer is discharged, with or without good cause. (b) Except as required by paragraph (a), a lawyer shall not withdraw from representing a client unless: (1) withdrawal can be accomplished without material adverse effect on the interests of the client; (2) the client persists in a course of action involving the lawyer's services that the lawyer reasonably believes may be criminal or fraudulent; (3) the client has used the lawyer's services to perpetrate a crime or fraud; (4) a client insists upon pursuing an objective that the lawyer considers repugnant or imprudent or with which the lawyer has fundamental disagreement; (5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services, including an obligation to pay the lawyer's fee as agreed, and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled; (6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or (7) other good cause for withdrawal exists. (c) When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation. (d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payments of fee that has not been earned. The lawyer may retain papers relating to the client to the extent permitted by other law only if such retention will not prejudice the client in the subject matter of the representation.

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A lawyer should not agree to represent a client in a matter unless the lawyer can fulfill her obligations to the client competently, properly, and without any improper conflicts of interest. A lawyer must decline employment or withdraw from representing a client if the representation will cause the lawyer to engage in conduct the lawyer knows is illegal or conduct that violates the disciplinary rules or other law.

A client may discharge a lawyer at any time, with or without cause, subject to payment of the lawyer’s fees. Whether a client can discharge appointed counsel depends on applicable law, and the client should be made aware of the potential consequences of her actions, including the possibility that she may end up having to represent herself.

If the client lacks the legal capacity to discharge the lawyer, the lawyer may initiate conservatorship proceedings to protect the client’s interests.

A lawyer may withdraw if doing so can be accomplished without a material adverse effect on the client’s interests. A client’s insistence on pursuing a course of action that the lawyer reasonably believes is criminal or fraudulent provides another basis for voluntary withdrawal. If the client insists on pursuing a course of action that the lawyer finds imprudent or repugnant or with which the lawyer fundamentally disagrees, the lawyer may seek to withdraw from the client’s case. Discovering that the client has misused the lawyer’s services in the past is another ground for voluntary withdrawal. If the client refuses to comply with terms of an agreement pertaining to the representation, such as payment of fees or court costs or concerning the scope of the lawyer’s representation, a lawyer may withdraw after duly warning the client that the client is not complying with the agreement.

Although withdrawal under paragraph (b)(2) through (b)(7) is optional, it is permitted even if it has a material adverse effect on the client’s interests.

Upon discharge or withdrawal, the lawyer must take all reasonable steps to mitigate the consequences to the client. A lawyer may retain a client’s file as security for a fee only to the extent permitted by law.

Who does the client’s file belong to, and who gets to keep it after the lawyer’s representation ends? In Tex. Comm. on Prof. Ethics, Op. 570 (May 2006), the Committee addressed the issue of whether a lawyer could refuse to turn over notes that the lawyer had made in the course of and in furtherance of representing a former client.

The Committee stated that “[r]ead together, Rules 1.14(b) and 1.15(d) provide that, generally, the documents in a lawyer's file that are property to which the client is entitled must be transferred to the client upon request unless the lawyer is permitted by law to retain those documents and can do so without prejudicing the interests of the client in the subject matter of the representation.”

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Despite the strong presumption in favor of the client, the Committee acknowledged that there may be certain situations in which withholding a lawyer’s notes from a former client would be justified: the Committee recognizes that there are some other unusual circumstances that would justify the withholding of certain lawyer's notes from a client. Examples include notes that contain information obtained in discovery subject to a court's protective order forbidding disclosure of the information to the client, notes where the disclosure would violate the lawyer's duty to another person, and notes containing information that could reasonably be expected to cause serious harm to a mentally ill client. See generally Comment c to Section 46 of the Restatement.

These exceptions are based on a lawyer's duties owed to others, including other clients, third persons and courts, or to the client, but are not based on the lawyer's own interests or concerns vis-àvis the client. Thus, a lawyer may withhold from a client or former client certain specific notes (or portions of notes) when required to do so by a court or when not doing so would violate a duty owed to a third person or risk causing serious harm to the client. Accordingly, documents that the former client is entitled to obtain include a lawyer's notes that constitute work product and relate to the client and the lawyer's representation of the client.

Rule 1.15(d) requires that any such documents must be given to the client upon request unless the lawyer is permitted by the exceptions.

In re McCann, 422 S.W.3d 701 (Tex. Crim. App. 2013), relator, who represented the defendant in his capital murder trial, refused to turn over his former client’s file to postconviction counsel because his former client did not authorize him to provide successor counsel with the file. The CCA emphasized that the former client’s file indeed belonged to the former client. Id. at 704-05. The CCA further emphasized that a competent client has the right to prevent his file from being provided to successor counsel, even if the decision is not necessarily in her best interest: Thus, if the client makes a voluntary decision not to turn over his or her file, a client’s former counsel is obligated to refuse to provide a copy of the client’s file to facilitate the work of successor counsel. This is because the agent (the client’s former attorney) may not relinquish dominion and control of the principal’s property without the principal’s permission absent circumstances inapplicable in this case (e.g., an attorney lien, incompetency). This is true even if the client decides, against his or her best interests, not to relinquish the trial file to subsequent counsel because a legally competent client can define his or her own best interests, and that decision will control.

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Id. at 707-08.

Relator was granted relief because his former client’s competency was not an issue, and as his former client’s counsel and agent, relator was ethically obligated to honor his former client’s decision not to turn his file over to successor counsel. Id. at 709-10.

Dealing with clients under a disability Rule 1.16. Clients with Diminished Capacity (a) When a client’s capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment, or for another reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client. (b) When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial, or other harm unless action is taken, and cannot adequately act in the client’s own interest, the lawyer may take reasonably necessary protective action. Such action may include, but is not limited to, consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, attorney ad litem, amicus attorney, or conservator, or submitting an information letter to a court with jurisdiction to initiate guardianship proceedings for the client. (c) When taking protective action pursuant to (b), the lawyer may disclose the client’s confidential information to the extent the lawyer reasonably believes is necessary to protect the client’s interests.

A lawyer should strive to treat a client with diminished capacity with attention and respect and treat such a client as a normal client to the extent it is possible for the lawyer to do so. If the lawyer represents a ward and the ward has a guardian whose interests are adverse to the ward’s, the lawyer may be obligated to prevent or rectify the ward’s misconduct. If the guardian is not acting in the ward’s best interest, the lawyer may have to seek the guardian’s removal. See Urbish v. 127th Judicial Dist. Ct., 708 S.W.2d 429, 431-32 (Tex. 1986)(holding that, considering only the ward’s best interests, a trial court can replace a guardian if the guardian has an adverse interest to the ward.)

Although a lawyer may disclose confidential information pertaining to a client with diminished capacity under Rule 1.16(c), the lawyer’s authority to disclose in order to protect the client’s interests is limited and the lawyer cannot disclose more information than is reasonably necessary.

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Advisor Rule 2.01. Advisor In advising or otherwise representing a client, a lawyer shall exercise independent professional judgment and render candid advice.

Lawyers must give their clients straightforward advice, even if it is unpleasant and not what the client wants to hear. A lawyer may refer to relevant moral and ethical considerations when advising her clients. If the matter is within the domain of another profession, the lawyer should refer the client to consult with a professional in the applicable field when appropriate. A lawyer may initiate advising a client if it is in the client’s best interest for the lawyer to do so.

Zealous advocacy Rule 3.01. Meritorious Claims and Contentions A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless the lawyer reasonably believes that there is a basis for doing so that is not frivolous.

Lawyers must not file frivolous or knowingly false pleadings, nor can they assert knowingly false claims or defenses. Pleadings and assertions are frivolous if made primarily to harass or maliciously injure another person, and if the lawyer cannot make an argument that her action is either consistent with existing law or supported by a good faith argument that existing law should be extended, modified, or reversed.

In federal court, Fed. R. Civ. P. 11(b) specifies that when an attorney signs a pleading, she is representing that the pleading is not being presented for an improper purpose, including harassment, causing unnecessary delay, or unnecessarily increasing litigation costs; that there is a basis in existing law or a non-frivilous argument to extend, modify, or reverse existing law, or to establish new law; that the facts have evidentiary support or will have evidentiary support after there has been a reasonable opportunity for additional discovery; and that factual denials are based on based on the evidence or a reasonable belief or lack of information. After notice and hearing, a party, law firm, or attorney may be sanctioned for violating FRCP 11(b).

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Duties to the court Candor toward the tribunal Rule 3.03. Candor Toward the Tribunal (a) A lawyer shall not knowingly: (1) make a false statement of material fact or law to a tribunal; (2) fail to disclose a fact to a tribunal when disclosure is necessary to avoid assisting a criminal or fraudulent act; (3) in an ex parte proceeding, fail to disclose to the tribunal an unprivileged fact which the lawyer reasonably believes should be known by that entity for it to make an informed decision; (4) fail to disclose to the tribunal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or (5) offer or use evidence that the lawyer knows to be false. (b) If a lawyer has offered material evidence and comes to know of its falsity, the lawyer shall make a good faith effort to persuade the client to authorize the lawyer to correct or withdraw the false evidence. If such efforts are unsuccessful, the lawyer shall take reasonable remedial measures, including disclosure of the true facts. (c) The duties stated in paragraphs (a) and (b) continue until remedial legal measures are no longer reasonably possible.

A lawyer must zealously present her client’s case while simultaneously maintaining client confidentiality and being candid with the court. If the opposing party has failed to disclose authority in the controlling jurisdiction that is directly adverse to the lawyer’s position, the lawyer must disclose the adverse authority to the court.

A lawyer must try to dissuade a client or other person from offering evidence or other material that the lawyer knows to be false. A lawyer cannot offer evidence or other material that she knows to be false. If the client insists on offering the false evidence, the lawyer may seek to withdraw.

If the lawyer subsequently learns that material evidence or testimony is false, she must try to get the client to correct the false testimony or withdraw the false evidence. If the lawyer is unsuccessful, she must take additional remedial measures.

In a criminal case, if the lawyer knows the client intends to commit perjury, the lawyer must take reasonable remedial measures, which may include revealing the perjury.

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A lawyer may refuse to offer evidence she believes is false, even if she does not know that the evidence is false.

A lawyer’s obligation to rectify the presentation of false evidence continues as long as there is a reasonable possibility that corrective legal action can be taken.

In Tex. Comm. on Prof. Ethics, Op. 504 (1995), the Commission concluded that a lawyer did not violate Rule 3.03 when he failed to correct erroneous statements that a prosecutor made to the court about his client’s prior criminal record. Neither defense counsel nor the client made any false statements to the court about this issue.

Here, the prosecutor mistakenly advised the court that the defendant had no prior convictions and then turned to defense counsel and asked, “Right?” Neither defense counsel nor the defendant responded to the prosecutor’s question, and the trial court granted probation.

The defendant had previously informed defense counsel about his prior felony convictions, so defense counsel knew that the prosecutor’s statement to the court was inaccurate when it was made. After trial, defense counsel advised the defendant that if a probation officer asked him about his prior arrests and convictions, he had to answer and answer truthfully. Probation officials learned about the defendant’s prior felony convictions when they asked the defendant truthfully answered their questions.

Rules 3.03(a)(1), (a)(2), and (a)(5) are exceptions to a lawyer’s duty to maintain client confidentiality pursuant to Rule 1.05. The issue is whether a lawyer may remain silent when neither he nor his client has made a false statement to the court, but the lawyer knows that the court is relying on mistaken information that will benefit the lawyer’s client.

If a judge specifically asks a lawyer whether his client has any prior felony convictions, the lawyer must answer truthfully. Likewise, if the court’s question to defense counsel occurs after another person has made an inaccurate statement, the defense lawyer must correct the erroneous information, make a statement indicating that the lawyer is not corroborating the incorrect statement, or ask the court to excuse him from answering the question.

Silence by the lawyer in this situation does not constitute the lawyer’s knowing use of false evidence. Since the client did not commit fraud or perjury, the lawyer’s silence does not constitute assisting a fraudulent or criminal act. The lawyer cannot disclose his client’s prior felony convictions because doing so is prohibited by Rule 1.05.

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In Ibarra v. State, 782 S.W.2d 234 (Tex. App.—Houston [14th Dist.] 1989), no pet., the State filed a motion to strike Ibarra’s brief because Ibarra’s attorney neglected to point out directly adverse controlling authority. Id. at 235. Nor did Ibarra’s attorney argue that the directly adverse controlling authority should be modified or overruled. Id. In fact, Ibarra’s counsel had filed more than forty briefs on the same obscenity issue and had not substantively altered his “fill-in-the-blanks” briefs. Id. Although the appellate court did not grant the State’s motion to strike Ibarra’s brief out of concern it would further delay the proceedings, the Court advised Ibarra’s counsel that he would be referred to the state bar for disciplinary action and subject to the Court’s contempt power if he filed another “fill-in-the-blank” brief. Id. Fairness in adjudicatory proceedings Rule 3.04. Fairness in Adjudicatory Proceedings A lawyer shall not: (a) unlawfully obstruct another party's access to evidence; in anticipation of a dispute unlawfully alter, destroy or conceal a document or other material that a competent lawyer would believe has potential or actual evidentiary value; or counsel or assist another person to do any such act. (b) falsify evidence, counsel or assist a witness to testify falsely, or pay, offer to pay, or acquiesce in the offer or payment of compensation to a witness or other entity contingent upon the content of the testimony of the witness or the outcome of the case. But a lawyer may advance, guarantee, or acquiesce in the payment of: (1) expenses reasonably incurred by a witness in attending or testifying; (2) reasonable compensation to a witness for his loss of time in attending or testifying; or (3) a reasonable fee for the professional services of an expert witness. (c) except as stated in paragraph (d), in representing a client before a tribunal: (1) habitually violate an established rule of procedure or of evidence; (2) state or allude to any matter that the lawyer does not reasonably believe is relevant to such proceeding or that will not be supported by admissible evidence, or assert personal knowledge of facts in issue except when testifying as a witness; (3) state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused, except that a lawyer may argue on his analysis of the evidence and other permissible considerations for any position or conclusion with respect to the matters stated herein;

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(4) ask any question intended to degrade a witness or other person except where the lawyer reasonably believes that the question will lead to relevant and admissible evidence; or (5) engage in conduct intended to disrupt the proceedings. (d) knowingly disobey, or advise the client to disobey, an obligation under the standing rules of or a ruling by a tribunal except for an open refusal based either on an assertion that no valid obligation exists or on the client's willingness to accept any sanctions arising from such disobedience. (e) request a person other than a client to refrain from voluntarily giving relevant information to another party unless: (1) the person is a relative or an employee or other agent of a client; and (2) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information.

Tex. Penal Code § 37.09(a)(1) prohibits a person who knows that there is a pending or ongoing investigation or official proceeding from altering, destroying, or concealing any records, documents, or things, with the intent to impair their verity, legibility, or availability as evidence. Tex. Penal Code §37.10(a)(3) prohibits the intentional destruction, concealment, removal, or impairment of the verity, legibility, or availability of a governmental record. Violation of subsection (a) of Tex. Penal Code § 37.09 and subsection (a)(3) of Tex. Penal Code §37.10(a) is a third-degree felony.

In Tex. Comm. on Prof. Ethics, Op. 690 (Oct. 2020), the Commission addressed the question of whether a defense attorney violated the disciplinary rules when he refused to reveal the existence of letters he received from his incarcerated client until trial and also refused to allow the prosecutor to inspect the letters until the trial court ordered him to do so.

The Commission emphasized that Rule 3.04(a) applies only to unlawful obstruction or concealment, meaning conduct that violates a court order, statute, or other kind of mandatory disclosure obligation. The Committee also stated that it was unaware “of any authority that it is a crime for a lawyer to accept and retain ordinary tangible evidence from a client accused of a crime.”

The Commission acknowledged that “there is no traditional discovery process in Texas that allows the State to obtain evidence from a criminal defendant.” The Commission further acknowledged that the state of law in Texas as to whether an attorney has a selfexecuting obligation to turn over certain kinds of evidence, including fruits and instrumentalities of a crime, is unclear, but that “a Texas court might recognize a selfexecuting obligation to produce Special Criminal Evidence. If so, a violation of that obligation would be “unlawful” for purposes of Rule 3.04.”

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With respect to the issue presented, the Commission concluded that the lawyer did not have an obligation to turn over the letters he received from his incarcerated client in the absence of a court order or agreement to do so.

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GAME DAY: PLAYING BY THE RULES In football, one objective is to play a game as penalty-free as possible. To avoid committing unnecessary and potentially devastating penalties, here are the applicable rules you need to keep in mind to enable you and your client to get the ball across the goal line.

Here in Texas, the ethical rules to which lawyers must adhere are codified in the Texas Disciplinary Rules of Professional Conduct, Tex. Govt. Code Ann., Title 2, Subtitle G, Appendix A, Article 10, §9. This paper will review the rules that criminal defense attorneys frequently encounter while representing their clients.

The Preamble to the disciplinary rules sets forth aspirational standards which lawyers should strive to achieve. Clearly, lawyers are expected to wear several different hats while representing their clients. Not only do lawyers have to represent their clients; they must also act as officers of the legal system, public citizens, and guardians of the law. While representing clients, lawyers must act as negotiators, advocates, advisors, intermediaries, and evaluators.

How must a lawyer perform these roles? Paragraph 3 of the Preamble requires lawyers to zealously pursue their clients’ interests “within the bounds of law” while being “competent, prompt and diligent.” Additionally, lawyers must maintain communication with their clients and only disclose information in accordance with the disciplinary rules or applicable law.

The Preamble also emphasizes that lawyers “should seek improvement of the law, the administration of justice and the quality of service rendered by the legal profession.” As public citizens, lawyers should strive to provide legal services to those who cannot afford to retain counsel and “to devote professional time and civic influence in their behalf.” Although such service is not required, the Preamble clearly states that “[t]he provision of legal services to those unable to pay reasonable fees is a moral obligation of each lawyer as well as the profession generally.”

Perhaps most importantly, the Preamble reminds us that “[e]ach lawyer’s own conscience is the touchstone”, and that the risk of losing the public’s confidence and respect “is the ultimate sanction.” The practice of law is a “noble profession…[t]his is its greatness and its strength, which permit of no compromise.”

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Duties of lawyers to their clients Competency and diligence Rule 1.01. Competent and Diligent Representation (a) A lawyer shall not accept or continue employment in a legal matter which the lawyer knows or should know is beyond the lawyer's competence, unless: (1) another lawyer who is competent to handle the matter is, with the prior informed consent of the client, associated in the matter; or (2) the advice or assistance of the lawyer is reasonably required in an emergency and the lawyer limits the advice and assistance to that which is reasonably necessary in the circumstances. (b) In representing a client, a lawyer shall not: (1) neglect a legal matter entrusted to the lawyer; or (2) frequently fail to carry out completely the obligations that the lawyer owes to a client or clients.

(c) As used in this Rule, “neglect” signifies inattentiveness involving a conscious disregard for the responsibilities owed to a client or clients.

“Competent” or “Competence” is defined as “possession or the ability to timely acquire the legal knowledge, skill, and training reasonably necessary for the representation of the client.”

“Reasonable” or “Reasonably” refers to “the conduct of a reasonably prudent and competent lawyer.”

To determine whether a particular legal matter is beyond a lawyer’s competence, several factors must be taken into consideration. These include the complexity and specialized nature of the legal matter; the lawyer’s general experience in the particular field; the preparation and study the lawyer will be able to give to the matter; and whether the lawyer can refer the matter to another lawyer or associate with a lawyer who is competent to handle the matter.

The comments emphasize that a lawyer can still accept employment in a matter with which she is unfamiliar and that the appropriate level of proficiency required in most matters is that of a general practitioner.

If the additional study and preparation a lawyer must do to become competent in a particular field will cause the client to incur undue delay or expense, the client must consent to the lawyer doing what she needs to do to become proficient enough to handle the matter.

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The comments further emphasize that a lawyer must act with competence, diligence, and dedication to the client’s interests, and advocate zealously for her clients.

Procrastination is discouraged because it can potentially destroy a client’s legal position (i.e., missing a statute of limitations.)

The final comment to the rule recognizes the importance of technology, and states that “each lawyer should strive to become proficient and competent in the practice of law, including the benefits and risks associated with relevant technology.”

Not surprisingly, a lawyer’s competency in the use of technology has increasingly become the subject of ethics opinions. See, e.g., Tex. Comm. on Prof. Ethics, Op. 680 (Sept. 2018)(stating that “a lawyer should remain reasonably aware of changes in technology and the associated risks” and “a lawyer must take reasonable precautions in the adoption and use of cloud-based technology for client document and data storage or the creation of client-specific documents that require client confidential information. These reasonable precautions include: (1) acquiring a general understanding of how the cloud technology works; (2) reviewing the “terms of service” to which the lawyer submits when using a specific cloud-based provider just as the lawyer should do when choosing and supervising other types of service providers; (3) learning what protections already exist within the technology for data security; (4) determining whether additional steps, including but not limited to the encryption of client confidential information, should be taken before submitting that client information to a cloud-based system; (5) remaining alert as to whether a particular cloud-based provider is known to be deficient in its data security measures or is or has been unusually vulnerable to “hacking” of stored information; and (6) training for lawyers and staff regarding appropriate protections and considerations.

These precautions do not require lawyers to become experts in technology; however, they do require lawyers to become and remain vigilant about data security issues from the outset of using a particular technology in connection with client confidential information.”)

See also Tex. Comm. on Prof. Ethics, Op. 665 (Dec. 2016)(“In the opinion of the Committee, a lawyer’s duty of competence requires that lawyers who use electronic documents understand that metadata is created in the generation of electronic documents, that transmission of electronic documents will include transmission of metadata, that the transmitted metadata may include confidential information, that recipients of the documents can access metadata, and that actions can be taken to prevent or minimize the transmission of metadata. Lawyers therefore have a duty to take reasonable measures to avoid the transmission of confidential information embedded in electronic documents, including the employment of reasonably available technical means to remove such metadata before sending such documents to persons 3

to whom such confidential information is not to be revealed pursuant to the provisions of Rule 1.05. Commonly employed methods for avoiding the disclosure of confidential information in metadata include the use of software to remove or “scrub” metadata from the document before transmission, the conversion of the document into another format that does not preserve the original metadata, and transmission of the document by fax or hard copy.”)

Scope of representation Rule 1.02. Scope and Objectives of Representation (a) Subject to paragraphs (b), (c), (d), (e), and (f), a lawyer shall abide by a client's decisions: (1) concerning the objectives and general methods of representation; (2) whether to accept an offer of settlement of a matter, except as otherwise authorized by law; (3) In a criminal case, after consultation with the lawyer, as to a plea to be entered, whether to waive jury trial, and whether the client will testify. (b) A lawyer may limit the scope, objectives and general methods of the representation if the client consents after consultation. (c) A lawyer shall not assist or counsel a client to engage in conduct that the lawyer knows is criminal or fraudulent. A lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel and represent a client in connection with the making of a good faith effort to determine the validity, scope, meaning or application of the law. (d) When a lawyer has confidential information clearly establishing that a client is likely to commit a criminal or fraudulent act that is likely to result in substantial injury to the financial interests or property of another, the lawyer shall promptly make reasonable efforts under the circumstances to dissuade the client from committing the crime or fraud. (e) When a lawyer has confidential information clearly establishing that the lawyer's client has committed a criminal or fraudulent act in the commission of which the lawyer's services have been used, the lawyer shall make reasonable efforts under the circumstances to persuade the client to take corrective action. (f) When a lawyer knows that a client expects representation not permitted by the rules of professional conduct or other law, the lawyer shall consult with the client regarding the relevant limitations on the lawyer's conduct.

The comments to Rule 1.02 make it clear that the lawyer and client should ideally work together as a team. While the ultimate objectives of the representation are for the client to decide, the attorney’s job is to “assume responsibility for the means by which the 4

client’s objectives are best achieved.” This gives the lawyer “very broad discretion to determine technical and legal tactics” while considering the cost to the client and being mindful of how third parties might be affected.

The rule does not require a lawyer to convey a settlement offer or a potential plea bargain to a client if the proposal would clearly be unacceptable to the client (as determined by the lawyer’s prior communications with the client.) However, a common complaint of clients in post-conviction proceedings is that their attorneys did not communicate with them about potential plea offers, so the better practice may be to convey any and all plea offers to the client.

Recently, the Supreme Court of the United States held that an attorney cannot concede a client’s guilt during opening statement over the client’s objection. McCoy v. Louisiana, 138 S.Ct. 1500, 1509 (2018). Specifically, the Court emphasized that “[a]utonomy to decide that the objective of the defense is assert innocence” belongs to the accused and that this decision “[is a] choice about what the client’s objectives in fact are.” McCoy, 138 S.Ct. at 1508 (citations omitted). “When a client expressly asserts that the objective of “his defence” is to maintain innocence of the charged criminal act, his lawyer must abide by that objective and may not override it by conceding guilt.” Id. at 1509 (emphasis in original.)

The McCoy majority considered the issue to be one of client autonomy and relied on Faretta v. California to come to this conclusion. In Faretta, the Supreme Court held that the accused had a right to represent himself and if competent to do so, could not be required to have a public defender represent him. Faretta v. California, 422 U.S. 806, 817 (1975).

The Court emphasized that “[t]he Sixth Amendment does not provide merely that a defense shall be made for the accused; it grants to the accused personally the right to make his defense.” Id. at 819. This personal right to determine one’s own defense is “necessarily implied” in the structure of the Sixth Amendment. Id. After all, “it is [the accused] who suffers the consequences if the defense fails.” Id. at 819-20.

Counsel’s role is to “supplement” the accused’s right to determine his own defense, “and an expert, however expert, is still an assistant.” Faretta, 422 U.S. at 820. Forcing a public defender to represent an unwilling accused, therefore, is antithetical “and the right to make a defense is stripped of [its] personal character” when counsel is permitted to assert his will in this instance. Id. As the Court acknowledged, “An unwanted counsel ‘represents’ the defendant only through a tenuous and unacceptable legal fiction. Unless the accused has acquiesced in such representation, the defense 5

presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense.” Id. at 821. In sum: Personal liberties are not rooted in the law of averages. The right to defend is personal. The defendant and not his lawyer, or the State, will bear the personal consequences of a conviction. It is the defendant, therefore, who must be free personally to decide whether in his particular case counsel is to his advantage.

And although he may conduct his own defense ultimately to his own detriment, his choice must be honored out of “that respect for the individual which is the lifeblood of the law.”

Id. at 834.

A lawyer may limit the scope of representation in a written retainer agreement that states a specific objective. The agreement may exclude specific objectives or means that the parties consider to be imprudent or repugnant. The retainer agreement must comply with the disciplinary rules and cannot require the client to give up terminating the lawyer’s services or the right to settle or continue the litigation, even if the lawyer would handle the matter differently.

Unless the representation is terminated in accordance with Rule 1.15, the lawyer should continue to represent the client until all matters undertaken on the client’s behalf have concluded. If the representation is limited in scope, it ends when the matter or matters have been resolved. If the matter was decided against the client, and if the lawyer has not been instructed about pursuing an appeal, the lawyer should advise the client of her right to appeal.

A recurring issue we see in writ cases is attorneys failing to advise their criminal clients of their right to pursue an appeal and/or to file a petition for discretionary review in the Texas Court of Criminal Appeals if the client loses her appeal in an intermediate appellate court. Even if a lawyer does not intend to represent her client on appeal in a criminal case, the lawyer must advise her client of her right to file a pro se notice of appeal and file a motion to withdraw.

Trial counsel’s obligations to her client “do not magically and automatically terminate at the end of the trial.” Ward v. State, 740 S.W.2d 794, 796 (Tex. Crim. App. 1987).

Regardless of whether trial counsel is retained or court-appointed, …trial counsel…has the duty, obligation and responsibility to consult with and fully to advise his client concerning meaning and effect of the judgment rendered by the court, his right to appeal from that judgment, the necessity of giving notice 6

of appeal and taking other steps to pursue an appeal, as well as expressing his professional judgment as to possible grounds for appeal and their merit, and delineating advantages and disadvantages of appeal. The decision to appeal belongs to the client.

Ex parte Axel, 757 S.W.2d 369, 374 (Tex. Crim. App. 1988); see also American Bar Association, Criminal Justice Standards for the Defense Function (4th ed. 2017), Standards 49.1(a)-(d); 4-9.2(i)(describing trial counsel’s continuing obligation to protect client’s appellate remedies upon conclusion of trial.)

If trial counsel does not withdraw, he “still represents [the client] on appeal.” Ward, 740 S.W.2d at 796 (citation omitted.) [Trial] “counsel may seek the trial court’s permission to withdraw at any time so long as the defendant’s appellate rights are protected, the appellant is given notice of withdrawal, and the trial court’s signed order permitting withdrawal is in the record, and if the defendant is still indigent, substitute counsel is appointed.” Id. at 797 (citation omitted.)

In other words, “[trial] counsel can’t be permitted simply to bow out without notice either to court or client and frustrate forever the right of the client to protect his vital interests.” Atilus v. U.S., 406 F.2d 694, 696 (5th Cir. 1969).

A lawyer may not knowingly assist a client in committing criminal or fraudulent conduct. She cannot reveal the client’s wrongdoing except as permitted under Rule 1.05. Nor can the lawyer further the client’s unlawful purpose or continue assisting the client upon discovering the client’s misconduct. The lawyer may have to withdraw from the client’s case. The lawyer must use reasonable efforts to dissuade the client from committing a crime or fraud, and if the client has utilized the lawyer’s services to engage in such conduct, the lawyer must use reasonable efforts to persuade the client to take corrective action.

Communicating with clients Rule 1.03. Communication (a) A lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information. (b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation .

A lawyer must provide her client with enough information about the objectives of the representation to enable the client to participate intelligently in discussions about the 7

objectives and how to accomplish them to the extent that the client is willing and able to engage in discussions of these issues. The lawyer should provide her client with sufficient information to enable a comprehending and responsible adult to make informed decisions. A lawyer may be prevented by a court order or rule from disclosing information to a client. Disclosure of information may be delayed when a lawyer reasonably believes that a client would act imprudently if the information was disclosed immediately.

A lawyer must strive to maintain reasonable communication with a client who suffers from diminished capacity and treat the client with attention and respect.

In Hines v. Comm’n for Lawyer Discipline, 28 S.W.3d 697 (Tex. App.—Corpus Christi 2000), no pet., appellant agreed to represent Nancy Hennessy in a child support enforcement proceeding after her former attorney moved to Fort Worth. Appellant met with Hennessy, her husband, and son and Hennessy paid appellant $500 to represent her at the hearing. Hennessy’s ex-husband did not appear at the hearing and could not be located, so the hearing was reset. Appellant represented Hennessy at the rescheduled hearing, but the judge dismissed Hennessy’s case because her pleadings were defective.

Although appellant told Hennessy she could appeal, he did not prepare any paperwork and did not maintain contact with Hennessy. Id. at 699.

Both the trial and appellate courts held that appellant violated Rules 1.03(a), 1.03(b), and 1.15(d). Appellant accepted money to represent Hennessy, did not amend her defective pleadings, failed to inform her of her options after the judge ruled against her, did not respond to reasonable requests for information, and failed to protect her interests after he stopped representing her. Moreover, appellant never told Hennessy verbally or in writing that he was no longer representing her. Id. at 701-02.

Fee agreements Rule 1.04. Fees (a) A lawyer shall not enter into an arrangement for, charge, or collect an illegal fee or unconscionable fee. A fee is unconscionable if a competent lawyer could not form a reasonable belief that the fee is reasonable. (b) Factors that may be considered in determining the reasonableness of a fee include, but not to the exclusion of other relevant factors, the following: (1) the time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly; (2) the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer; 8

(3) the fee customarily charged in the locality for similar legal services; (4) the amount involved and the results obtained; (5) the time limitations imposed by the client or by the circumstances; (6) the nature and length of the professional relationship with the client; (7) the experience, reputation, and ability of the lawyer or lawyers performing the services; and (8) whether the fee is fixed or contingent on results obtained or uncertainty of collection before the legal services have been rendered. (c) When the lawyer has not regularly represented the client, the basis or rate of the fee shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation. (d) A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by paragraph (e) or other law. A contingent fee agreement shall be in writing and shall state the method by which the fee is to be determined. If there is to be a differentiation in the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal, the percentage for each shall be stated. The agreement shall state the litigation and other expenses to be deducted from the recovery, and whether such expenses are to be deducted before or after the contingent fee is calculated. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement describing the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination. (e) A lawyer shall not enter into an arrangement for, charge, or collect a contingent fee for representing a defendant in a criminal case. (f) A division or arrangement for division of a fee between lawyers who are not in the same firm may be made only if: (1) the division is: (i) in proportion to the professional services performed by each lawyer; or (ii) made between lawyers who assume joint responsibility for the representation; and (2) the client consents in writing to the terms of the arrangement prior to the time of the association or referral proposed, including: (i) the identity of all lawyers or law firms who will participate in the fee-sharing agreement, and (ii) whether fees will be divided based on the proportion of services performed or by lawyers agreeing to assume joint responsibility for the representation, and (iii) the share of the fee that each lawyer or law firm will receive or, if the division is based on the proportion of services performed, the basis on which the division will be made; and (3) the aggregate fee does not violate paragraph (a). (g) Every agreement that allows a lawyer or law firm to associate other counsel in the representation of a person, or to refer the person to other counsel for such 9

representation, and that results in such an association with or referral to a different law firm or a lawyer in such a different firm, shall be confirmed by an arrangement conforming to paragraph (f). Consent by a client or a prospective client without knowledge of the information specified in subparagraph (f)(2) does not constitute a confirmation within the meaning of this rule. No attorney shall collect or seek to collect fees or expenses in connection with any such agreement that is not confirmed in that way, except for: (1) the reasonable value of legal services provided to that person; and (2) the reasonable and necessary expenses actually incurred on behalf of that person. (h) Paragraph (f) of this rule does not apply to payment to a former partner or associate pursuant to a separation or retirement agreement, or to a lawyer referral program certified by the State Bar of Texas in accordance with the Texas Lawyer Referral Service Quality Act, Tex. Occ. Code 952.001 et seq., or any amendments or recodifications thereof.

A lawyer is subject to discipline for charging an unconscionable or illegal fee. The factors underlying a lawyer’s fee should be set forth in writing. It is sufficient to provide a client with a memorandum or fee schedule setting forth the basis of the fee.

Contingent fee agreements must be in writing and are not appropriate in divorce proceedings.

Lawyers may divide fees on the basis of the proportion of services each lawyer renders or if each lawyer assumes joint responsibility for representing the client. A client must consent in writing to the terms of a referral or association of lawyers prior to the commencement of the referral or arrangement.

Lawyers are encouraged to submit to fee resolution procedures offered by local bar associations. Several local bar associations assist lawyers and clients in resolving fee disputes and there are also regional fee dispute resolution centers that can assist with these issues.

A sample fee agreement is attached to this paper.

Confidentiality Rule 1.05. Confidentiality of Information (a) “Confidential information” includes both “privileged information” and “unprivileged client information.” “Privileged information” refers to the information of a client protected by the lawyer-client privilege of Rule 503 of the Texas Rules of Evidence or of Rule 503 of the Texas Rules of Criminal Evidence or by the principles 10

of attorney-client privilege governed by Rule 501 of the Federal Rules of Evidence for United States Courts and Magistrates. “Unprivileged client information” means all information relating to a client or furnished by the client, other than privileged information, acquired by the lawyer during the course of or by reason of the representation of the client. (b) Except as permitted by paragraphs (c) and (d), or as required by paragraphs (e) and (f), a lawyer shall not knowingly: (1) Reveal confidential information of a client or a former client to: (i) a person that the client has instructed is not to receive the information; or (ii) anyone else, other than the client, the client's representatives, or the members, associates, or employees of the lawyer's law firm.

(2) Use confidential information of a client to the disadvantage of the client unless the client consents after consultation.

(3) Use confidential information of a former client to the disadvantage of the former client after the representation is concluded unless the former client consents after consultation or the confidential information has become generally known.

(4) Use privileged information of a client for the advantage of the lawyer or of a third person, unless the client consents after consultation. (c) A lawyer may reveal confidential information: (1) When the lawyer has been expressly authorized to do so in order to carry out the representation.

(2) When the client consents after consultation.

(3) To the client, the client's representatives, or the members, associates, and employees of the lawyer's firm, except when otherwise instructed by the client.

(4) When the lawyer has reason to believe it is necessary to do so in order to comply with a court order, a Texas Disciplinary Rules of Professional Conduct, or other law.

(5) To the extent reasonably necessary to enforce a claim or establish a defense on behalf of the lawyer in a controversy between the lawyer and the client.

(6) To establish a defense to a criminal charge, civil claim or disciplinary complaint against the lawyer or the lawyer's associates based upon conduct involving the client or the representation of the client.

(7) When the lawyer has reason to believe it is necessary to do so in order to prevent the client from committing a criminal or fraudulent act.

(8) To the extent revelation reasonably appears necessary to rectify the consequences of a client's criminal or fraudulent act in the commission of which the lawyer's services had been used.

(9) To secure legal advice about the lawyer’s compliance with these Rules.

(10) When the lawyer has reason to believe it is necessary to do so in order to prevent the client from dying by suicide. (d) A lawyer also may reveal unprivileged client information: (1) When impliedly authorized to do so in order to carry out the representation.

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(2) When the lawyer has reason to believe it is necessary to do so in order to: (i) carry out the representation effectively; (ii) defend the lawyer or the lawyer's employees or associates against a claim of wrongful conduct; (iii) respond to allegations in any proceeding concerning the lawyer's representation of the client; or (iv) prove the services rendered to a client, or the reasonable value thereof, or both, in an action against another person or organization responsible for the payment of the fee for services rendered to the client. (e) When a lawyer has confidential information clearly establishing that a client is likely to commit a criminal or fraudulent act that is likely to result in death or substantial bodily harm to a person, the lawyer shall reveal confidential information to the extent revelation reasonably appears necessary to prevent the client from committing the criminal or fraudulent act. (f) A lawyer shall reveal confidential information when required to do so by Rule 3.03(a)(2), 3.03(b), or by Rule 4.01(b).

Rule 1.05 protects against the unauthorized disclosure of both confidential privileged and unprivileged client information. In criminal cases, attorney-client privilege is defined in Texas Rule of Criminal Evidence 503. Rule 503 and enables a client to refuse to disclose and to prevent any other person “from disclosing confidential communications made to facilitate the rendition of professional legal services to the client.” In criminal cases, a client may prevent a lawyer or a lawyer’s representative “from disclosing any other fact that came to the knowledge of the lawyer or the lawyer’s representative by reason of the attorney-client relationship.”

Individuals who may claim the privilege include a client, her guardian or conservator, her personal representative (if the client is deceased), or a successor, trustee, or representative of a corporation, association, or other entity, even if the entity no longer exists. A client’s lawyer or lawyer’s representative when the communication was made is presumed to have the authority to claim the privilege on the client’s behalf.

The attorney-client privilege does not apply if the lawyer’s services were sought to enable anyone to commit or plan to commit what the client should reasonably know is a crime or fraud; to communications pertaining to issues between parties claiming through the same deceased client; to breaches of duty by either a lawyer to a client or a client to a lawyer; to attested documents when a lawyer is the attesting witness; and to communications between joint clients when made to a lawyer in an action between the clients on a matter of common interest.

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A lawyer may not use confidential information to the client’s disadvantage, or to the advantage of the lawyer or a third person unless the client consents after consultation.

Nor can a lawyer use a former client’s confidential information to the former client’s disadvantage unless the former client consents after consultation or the information has become generally known.

A lawyer may reveal confidential information when expressly authorized to do so; when the client has consented after consultation; when the lawyer has reason to believe disclosure is necessary to comply with a court order, the disciplinary rules, or other law; to the extent reasonably necessary to enforce a claim or establish a defense in a dispute between the lawyer and the client; to defend against a civil claim, criminal charge, or disciplinary complaint against the lawyer or her associates by the client or client’s representative; when the lawyer has reason to believe that disclosure is necessary to prevent the client from committing a crime or fraudulent act; when necessary to rectify a client’s criminal or fraudulent act when the lawyer’s services have been utilized in its commission; to obtain legal advice about a lawyer’s compliance with the disciplinary rules; and when the lawyer has reason to believe that the disclosure is needed to prevent the client from committing suicide. Additionally, a lawyer may disclose confidential information to the client, client’s representative, and members, associates, and employees of her law firm, unless the client instructs her not to do so.

When the threatened injury due to a client’s decision to commit a crime or fraud is grave, the lawyer’s interest in preventing the harm from occurring may be greater than protecting the client’s confidential information. In this scenario, the lawyer has professional discretion to reveal both privileged and unprivileged information to prevent the commission of the fraudulent or criminal act.

Except when death or serious bodily injury is involved, a lawyer is obligated to dissuade the client from committing the criminal or fraudulent act or to persuade the client to take corrective measures.

If the lawyer’s services will be used by the client to materially further criminal or fraudulent conduct, the lawyer must withdraw.

Loyalty Rule 1.06. Conflict of Interest: General Rule (a) A lawyer shall not represent opposing parties to the same litigation. (b) In other situations and except to the extent permitted by paragraph (c), a lawyer shall not represent a person if the representation of that person: 13

(1) involves a substantially related matter in which that person's interests are materially and directly adverse to the interests of another client of the lawyer or the lawyer's firm; or (2) reasonably appears to be or become adversely limited by the lawyer's or law firm's responsibilities to another client or to a third person or by the lawyer's or law firm's own interests. (c) A lawyer may represent a client in the circumstances described in (b) if: (1) the lawyer reasonably believes the representation of each client will not be materially affected; and (2) each affected or potentially affected client consents to such representation after full disclosure of the existence, nature, implications, and possible adverse consequences of the common representation and the advantages involved, if any. (d) A lawyer who has represented multiple parties in a matter shall not thereafter represent any of such parties in a dispute among the parties arising out of the matter, unless prior consent is obtained from all such parties to the dispute. (e) If a lawyer has accepted representation in violation of this Rule, or if multiple representation properly accepted becomes improper under this Rule, the lawyer shall promptly withdraw from one or more representations to the extent necessary for any remaining representation not to be in violation of these Rules. (f) If a lawyer would be prohibited by this Rule from engaging in particular conduct, no other lawyer while a member or associated with that lawyer's firm may engage in that conduct.

If an impermissible conflict of interest exists before undertaking the representation of a client, the lawyer should decline the representation. If the conflict arises after the representation begins, the lawyer must act to eliminate the conflict, and may even have to withdraw from the case.

As a general rule, a lawyer may not represent opposing parties in litigation. Parties are opponents when a judgment in favor of one party would directly and unfavorably affect the other party. Additionally, a lawyer is generally prohibited from undertaking representation directly adverse to a client in a substantially related matter unless the client consents after consultation and the lawyer reasonably believes that her representation will be reasonably protective of the client’s interests.

A lawyer’s loyalty to her client must also not be blinded by her own interests. If the lawyer cannot consider, recommend, or carry out an appropriate course of action for one client because of her obligations to other clients or her own interests, there is a conflict. A lawyer’s independence and professional judgment must not be compromised. If a disinterested lawyer would conclude that the client should not agree 14

to the representation under the circumstances, the lawyer should not ask the client to agree to the representation or provide the representation based on the client’s consent.

A lawyer may be paid by someone other than the client, provided that the client is informed and consents to the arrangement and the lawyer’s duty of loyalty to the client is not compromised. This happens in juvenile cases when the child’s parents retain the lawyer and the juvenile is the client. The lawyer’s duty of loyalty is to the child, not to her parents.

On September 22, 2021, the Texas Court of Criminal Appeals granted habeas relief to a capital petitioner, Clinton Lee Young, on his fifth (!) habeas petition because investigation revealed that Weldon Petty, an appellate assistant district attorney, violated Mr. Young’s right to a fair trial by working as a paid law clerk for the judge who presided over Young’s capital murder trial while simultaneously representing the State of Texas against Young during his trial and initial capital habeas proceedings. See Ex parte Young, No. WR-65, 137-05 (Tex. Crim. App. Sept. 22, 2021).

The evidence adduced at Young’s writ hearing revealed that Petty was an integral member of the team that prosecuted Young and sent him to death row. Petty wrote most of the motions that were filed on the State’s behalf and appeared in court several times to argue legal issues. Id. at 6. As a paid law clerk in habeas cases for the same judge who presided over Young’s trial and initial habeas proceedings, Petty reviewed filed writs, performed legal research, and submitted a recommendation and proposed order containing findings of fact and conclusions of law to the assigning judge. Id. at 45. During his tenure as a judicial clerk, Petty earned at least $132,000. Id. at 7, n.2.

Petty resigned from the state bar in lieu of disciplinary action. The Texas Supreme Court determined that Petty’s dual employment violated Rule 1.06(b)(2). Id. at 8.

Safekeeping property Rule 1.14. Safekeeping Property (a) A lawyer shall hold funds and other property belonging in whole or in part to clients or third persons that are in a lawyer's possession in connection with a representation separate from the lawyer's own property. Such funds shall be kept in a separate account, designated as a “trust” or “escrow” account, maintained in the state where the lawyer's office is situated, or elsewhere with the consent of the client or third person. Other client property shall be identified as such and appropriately safeguarded. Complete records of such account funds and other property shall be 15

kept by the lawyer and shall be preserved for a period of five years after termination of the representation. (b) Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third person, shall promptly render a full accounting regarding such property. (c) When in the course of representation a lawyer is in possession of funds or other property in which both the lawyer and another person claim interests, the property shall be kept separate by the lawyer until there is an accounting and severance of their interest. All funds in a trust or escrow account shall be disbursed only to those persons entitled to receive them by virtue of the representation or by law. If a dispute arises concerning their respective interests, the portion in dispute shall be kept separated by the lawyer until the dispute is resolved, and the undisputed portion shall be distributed appropriately.

Lawyers are fiduciaries with respect to the property of clients and third parties. Property belonging to clients and third parties must be kept separate from the lawyer’s business and personal property. Client funds must be placed in a trust account and the lawyer must maintain complete records of all client and third party property and funds in the lawyer’s possession.

If there is a fee dispute between the lawyer and the client, the lawyer must hold the disputed portion of the funds in trust and promptly return any undisputed funds to the client. In Texas, many local bar associations offer fee dispute resolution services, and there are also regional dispute resolution centers. When a client prepays a fee, that fee belongs to the client until the lawyer until the services have been rendered. Upon notifying the client that the work has been completed, if there is no dispute, the lawyer can then withdraw the fee earned for services rendered from the separate trust account.

In Bellino v. Comm’n for Lawyer Discipline, 124 S.W.3d 380 (Tex. App.—Dallas 2003), pet. denied (Tex. 2004), attorney Bellino committed several ethical violations, including violations of Rule 1.14. First, Bellino violated Rule 1.14(a) in one case by depositing settlement funds into his own bank account. Id. at 387. Second, Bellino failed to provide another client with a full accounting of funds he received on the client’s behalf, in violation of Rule 1.14(b). Id. And third, Bellino failed to pay a chiropractor his full fee, despite sending the chiropractor a letter of protection offering to pay the chiropractor his fee from any settlement proceeds received in the case. Although Bellino did pay the chiropractor $2500 of the chiropractor’s $6517 fee, Bellino withheld the balance and 16

demanded that the chiropractor release the rest of his claim. Bellino’s conduct violated Rule 1.14(b) because Bellino failed to promptly deliver funds to a third party.

Declining or terminating representation Rule 1.15. Declining or Terminating Representation (a) A lawyer shall decline to represent a client or, where representation has commenced, shall withdraw, except as stated in paragraph (c), from the representation of a client, if: (1) the representation will result in violation of Rule 3.08, other applicable rules of professional conduct or other law; (2) the lawyer's physical, mental or psychological condition materially impairs the lawyer's fitness to represent the client; or (3) the lawyer is discharged, with or without good cause. (b) Except as required by paragraph (a), a lawyer shall not withdraw from representing a client unless: (1) withdrawal can be accomplished without material adverse effect on the interests of the client; (2) the client persists in a course of action involving the lawyer's services that the lawyer reasonably believes may be criminal or fraudulent; (3) the client has used the lawyer's services to perpetrate a crime or fraud; (4) a client insists upon pursuing an objective that the lawyer considers repugnant or imprudent or with which the lawyer has fundamental disagreement; (5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services, including an obligation to pay the lawyer's fee as agreed, and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled; (6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or (7) other good cause for withdrawal exists. (c) When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation. (d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payments of fee that has not been earned. The lawyer may retain papers relating to the client to the extent permitted by other law only if such retention will not prejudice the client in the subject matter of the representation.

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A lawyer should not agree to represent a client in a matter unless the lawyer can fulfill her obligations to the client competently, properly, and without any improper conflicts of interest. A lawyer must decline employment or withdraw from representing a client if the representation will cause the lawyer to engage in conduct the lawyer knows is illegal or conduct that violates the disciplinary rules or other law.

A client may discharge a lawyer at any time, with or without cause, subject to payment of the lawyer’s fees. Whether a client can discharge appointed counsel depends on applicable law, and the client should be made aware of the potential consequences of her actions, including the possibility that she may end up having to represent herself.

If the client lacks the legal capacity to discharge the lawyer, the lawyer may initiate conservatorship proceedings to protect the client’s interests.

A lawyer may withdraw if doing so can be accomplished without a material adverse effect on the client’s interests. A client’s insistence on pursuing a course of action that the lawyer reasonably believes is criminal or fraudulent provides another basis for voluntary withdrawal. If the client insists on pursuing a course of action that the lawyer finds imprudent or repugnant or with which the lawyer fundamentally disagrees, the lawyer may seek to withdraw from the client’s case. Discovering that the client has misused the lawyer’s services in the past is another ground for voluntary withdrawal. If the client refuses to comply with terms of an agreement pertaining to the representation, such as payment of fees or court costs or concerning the scope of the lawyer’s representation, a lawyer may withdraw after duly warning the client that the client is not complying with the agreement.

Although withdrawal under paragraph (b)(2) through (b)(7) is optional, it is permitted even if it has a material adverse effect on the client’s interests.

Upon discharge or withdrawal, the lawyer must take all reasonable steps to mitigate the consequences to the client. A lawyer may retain a client’s file as security for a fee only to the extent permitted by law.

Who does the client’s file belong to, and who gets to keep it after the lawyer’s representation ends? In Tex. Comm. on Prof. Ethics, Op. 570 (May 2006), the Committee addressed the issue of whether a lawyer could refuse to turn over notes that the lawyer had made in the course of and in furtherance of representing a former client.

The Committee stated that “[r]ead together, Rules 1.14(b) and 1.15(d) provide that, generally, the documents in a lawyer's file that are property to which the client is entitled must be transferred to the client upon request unless the lawyer is permitted by law to retain those documents and can do so without prejudicing the interests of the client in the subject matter of the representation.”

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Despite the strong presumption in favor of the client, the Committee acknowledged that there may be certain situations in which withholding a lawyer’s notes from a former client would be justified: the Committee recognizes that there are some other unusual circumstances that would justify the withholding of certain lawyer's notes from a client. Examples include notes that contain information obtained in discovery subject to a court's protective order forbidding disclosure of the information to the client, notes where the disclosure would violate the lawyer's duty to another person, and notes containing information that could reasonably be expected to cause serious harm to a mentally ill client. See generally Comment c to Section 46 of the Restatement.

These exceptions are based on a lawyer's duties owed to others, including other clients, third persons and courts, or to the client, but are not based on the lawyer's own interests or concerns vis-àvis the client. Thus, a lawyer may withhold from a client or former client certain specific notes (or portions of notes) when required to do so by a court or when not doing so would violate a duty owed to a third person or risk causing serious harm to the client. Accordingly, documents that the former client is entitled to obtain include a lawyer's notes that constitute work product and relate to the client and the lawyer's representation of the client.

Rule 1.15(d) requires that any such documents must be given to the client upon request unless the lawyer is permitted by the exceptions.

In re McCann, 422 S.W.3d 701 (Tex. Crim. App. 2013), relator, who represented the defendant in his capital murder trial, refused to turn over his former client’s file to postconviction counsel because his former client did not authorize him to provide successor counsel with the file. The CCA emphasized that the former client’s file indeed belonged to the former client. Id. at 704-05. The CCA further emphasized that a competent client has the right to prevent his file from being provided to successor counsel, even if the decision is not necessarily in her best interest: Thus, if the client makes a voluntary decision not to turn over his or her file, a client’s former counsel is obligated to refuse to provide a copy of the client’s file to facilitate the work of successor counsel. This is because the agent (the client’s former attorney) may not relinquish dominion and control of the principal’s property without the principal’s permission absent circumstances inapplicable in this case (e.g., an attorney lien, incompetency). This is true even if the client decides, against his or her best interests, not to relinquish the trial file to subsequent counsel because a legally competent client can define his or her own best interests, and that decision will control.

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Id. at 707-08.

Relator was granted relief because his former client’s competency was not an issue, and as his former client’s counsel and agent, relator was ethically obligated to honor his former client’s decision not to turn his file over to successor counsel. Id. at 709-10.

Dealing with clients under a disability Rule 1.16. Clients with Diminished Capacity (a) When a client’s capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment, or for another reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client. (b) When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial, or other harm unless action is taken, and cannot adequately act in the client’s own interest, the lawyer may take reasonably necessary protective action. Such action may include, but is not limited to, consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, attorney ad litem, amicus attorney, or conservator, or submitting an information letter to a court with jurisdiction to initiate guardianship proceedings for the client. (c) When taking protective action pursuant to (b), the lawyer may disclose the client’s confidential information to the extent the lawyer reasonably believes is necessary to protect the client’s interests.

A lawyer should strive to treat a client with diminished capacity with attention and respect and treat such a client as a normal client to the extent it is possible for the lawyer to do so. If the lawyer represents a ward and the ward has a guardian whose interests are adverse to the ward’s, the lawyer may be obligated to prevent or rectify the ward’s misconduct. If the guardian is not acting in the ward’s best interest, the lawyer may have to seek the guardian’s removal. See Urbish v. 127th Judicial Dist. Ct., 708 S.W.2d 429, 431-32 (Tex. 1986)(holding that, considering only the ward’s best interests, a trial court can replace a guardian if the guardian has an adverse interest to the ward.)

Although a lawyer may disclose confidential information pertaining to a client with diminished capacity under Rule 1.16(c), the lawyer’s authority to disclose in order to protect the client’s interests is limited and the lawyer cannot disclose more information than is reasonably necessary.

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Advisor Rule 2.01. Advisor In advising or otherwise representing a client, a lawyer shall exercise independent professional judgment and render candid advice.

Lawyers must give their clients straightforward advice, even if it is unpleasant and not what the client wants to hear. A lawyer may refer to relevant moral and ethical considerations when advising her clients. If the matter is within the domain of another profession, the lawyer should refer the client to consult with a professional in the applicable field when appropriate. A lawyer may initiate advising a client if it is in the client’s best interest for the lawyer to do so.

Zealous advocacy Rule 3.01. Meritorious Claims and Contentions A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless the lawyer reasonably believes that there is a basis for doing so that is not frivolous.

Lawyers must not file frivolous or knowingly false pleadings, nor can they assert knowingly false claims or defenses. Pleadings and assertions are frivolous if made primarily to harass or maliciously injure another person, and if the lawyer cannot make an argument that her action is either consistent with existing law or supported by a good faith argument that existing law should be extended, modified, or reversed.

In federal court, Fed. R. Civ. P. 11(b) specifies that when an attorney signs a pleading, she is representing that the pleading is not being presented for an improper purpose, including harassment, causing unnecessary delay, or unnecessarily increasing litigation costs; that there is a basis in existing law or a non-frivilous argument to extend, modify, or reverse existing law, or to establish new law; that the facts have evidentiary support or will have evidentiary support after there has been a reasonable opportunity for additional discovery; and that factual denials are based on based on the evidence or a reasonable belief or lack of information. After notice and hearing, a party, law firm, or attorney may be sanctioned for violating FRCP 11(b).

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Duties to the court Candor toward the tribunal Rule 3.03. Candor Toward the Tribunal (a) A lawyer shall not knowingly: (1) make a false statement of material fact or law to a tribunal; (2) fail to disclose a fact to a tribunal when disclosure is necessary to avoid assisting a criminal or fraudulent act; (3) in an ex parte proceeding, fail to disclose to the tribunal an unprivileged fact which the lawyer reasonably believes should be known by that entity for it to make an informed decision; (4) fail to disclose to the tribunal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or (5) offer or use evidence that the lawyer knows to be false. (b) If a lawyer has offered material evidence and comes to know of its falsity, the lawyer shall make a good faith effort to persuade the client to authorize the lawyer to correct or withdraw the false evidence. If such efforts are unsuccessful, the lawyer shall take reasonable remedial measures, including disclosure of the true facts. (c) The duties stated in paragraphs (a) and (b) continue until remedial legal measures are no longer reasonably possible.

A lawyer must zealously present her client’s case while simultaneously maintaining client confidentiality and being candid with the court. If the opposing party has failed to disclose authority in the controlling jurisdiction that is directly adverse to the lawyer’s position, the lawyer must disclose the adverse authority to the court.

A lawyer must try to dissuade a client or other person from offering evidence or other material that the lawyer knows to be false. A lawyer cannot offer evidence or other material that she knows to be false. If the client insists on offering the false evidence, the lawyer may seek to withdraw.

If the lawyer subsequently learns that material evidence or testimony is false, she must try to get the client to correct the false testimony or withdraw the false evidence. If the lawyer is unsuccessful, she must take additional remedial measures.

In a criminal case, if the lawyer knows the client intends to commit perjury, the lawyer must take reasonable remedial measures, which may include revealing the perjury.

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A lawyer may refuse to offer evidence she believes is false, even if she does not know that the evidence is false.

A lawyer’s obligation to rectify the presentation of false evidence continues as long as there is a reasonable possibility that corrective legal action can be taken.

In Tex. Comm. on Prof. Ethics, Op. 504 (1995), the Commission concluded that a lawyer did not violate Rule 3.03 when he failed to correct erroneous statements that a prosecutor made to the court about his client’s prior criminal record. Neither defense counsel nor the client made any false statements to the court about this issue.

Here, the prosecutor mistakenly advised the court that the defendant had no prior convictions and then turned to defense counsel and asked, “Right?” Neither defense counsel nor the defendant responded to the prosecutor’s question, and the trial court granted probation.

The defendant had previously informed defense counsel about his prior felony convictions, so defense counsel knew that the prosecutor’s statement to the court was inaccurate when it was made. After trial, defense counsel advised the defendant that if a probation officer asked him about his prior arrests and convictions, he had to answer and answer truthfully. Probation officials learned about the defendant’s prior felony convictions when they asked the defendant truthfully answered their questions.

Rules 3.03(a)(1), (a)(2), and (a)(5) are exceptions to a lawyer’s duty to maintain client confidentiality pursuant to Rule 1.05. The issue is whether a lawyer may remain silent when neither he nor his client has made a false statement to the court, but the lawyer knows that the court is relying on mistaken information that will benefit the lawyer’s client.

If a judge specifically asks a lawyer whether his client has any prior felony convictions, the lawyer must answer truthfully. Likewise, if the court’s question to defense counsel occurs after another person has made an inaccurate statement, the defense lawyer must correct the erroneous information, make a statement indicating that the lawyer is not corroborating the incorrect statement, or ask the court to excuse him from answering the question.

Silence by the lawyer in this situation does not constitute the lawyer’s knowing use of false evidence. Since the client did not commit fraud or perjury, the lawyer’s silence does not constitute assisting a fraudulent or criminal act. The lawyer cannot disclose his client’s prior felony convictions because doing so is prohibited by Rule 1.05.

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In Ibarra v. State, 782 S.W.2d 234 (Tex. App.—Houston [14th Dist.] 1989), no pet., the State filed a motion to strike Ibarra’s brief because Ibarra’s attorney neglected to point out directly adverse controlling authority. Id. at 235. Nor did Ibarra’s attorney argue that the directly adverse controlling authority should be modified or overruled. Id. In fact, Ibarra’s counsel had filed more than forty briefs on the same obscenity issue and had not substantively altered his “fill-in-the-blanks” briefs. Id. Although the appellate court did not grant the State’s motion to strike Ibarra’s brief out of concern it would further delay the proceedings, the Court advised Ibarra’s counsel that he would be referred to the state bar for disciplinary action and subject to the Court’s contempt power if he filed another “fill-in-the-blank” brief. Id. Fairness in adjudicatory proceedings Rule 3.04. Fairness in Adjudicatory Proceedings A lawyer shall not: (a) unlawfully obstruct another party's access to evidence; in anticipation of a dispute unlawfully alter, destroy or conceal a document or other material that a competent lawyer would believe has potential or actual evidentiary value; or counsel or assist another person to do any such act. (b) falsify evidence, counsel or assist a witness to testify falsely, or pay, offer to pay, or acquiesce in the offer or payment of compensation to a witness or other entity contingent upon the content of the testimony of the witness or the outcome of the case. But a lawyer may advance, guarantee, or acquiesce in the payment of: (1) expenses reasonably incurred by a witness in attending or testifying; (2) reasonable compensation to a witness for his loss of time in attending or testifying; or (3) a reasonable fee for the professional services of an expert witness. (c) except as stated in paragraph (d), in representing a client before a tribunal: (1) habitually violate an established rule of procedure or of evidence; (2) state or allude to any matter that the lawyer does not reasonably believe is relevant to such proceeding or that will not be supported by admissible evidence, or assert personal knowledge of facts in issue except when testifying as a witness; (3) state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused, except that a lawyer may argue on his analysis of the evidence and other permissible considerations for any position or conclusion with respect to the matters stated herein;

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(4) ask any question intended to degrade a witness or other person except where the lawyer reasonably believes that the question will lead to relevant and admissible evidence; or (5) engage in conduct intended to disrupt the proceedings. (d) knowingly disobey, or advise the client to disobey, an obligation under the standing rules of or a ruling by a tribunal except for an open refusal based either on an assertion that no valid obligation exists or on the client's willingness to accept any sanctions arising from such disobedience. (e) request a person other than a client to refrain from voluntarily giving relevant information to another party unless: (1) the person is a relative or an employee or other agent of a client; and (2) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information.

Tex. Penal Code § 37.09(a)(1) prohibits a person who knows that there is a pending or ongoing investigation or official proceeding from altering, destroying, or concealing any records, documents, or things, with the intent to impair their verity, legibility, or availability as evidence. Tex. Penal Code §37.10(a)(3) prohibits the intentional destruction, concealment, removal, or impairment of the verity, legibility, or availability of a governmental record. Violation of subsection (a) of Tex. Penal Code § 37.09 and subsection (a)(3) of Tex. Penal Code §37.10(a) is a third-degree felony.

In Tex. Comm. on Prof. Ethics, Op. 690 (Oct. 2020), the Commission addressed the question of whether a defense attorney violated the disciplinary rules when he refused to reveal the existence of letters he received from his incarcerated client until trial and also refused to allow the prosecutor to inspect the letters until the trial court ordered him to do so.

The Commission emphasized that Rule 3.04(a) applies only to unlawful obstruction or concealment, meaning conduct that violates a court order, statute, or other kind of mandatory disclosure obligation. The Committee also stated that it was unaware “of any authority that it is a crime for a lawyer to accept and retain ordinary tangible evidence from a client accused of a crime.”

The Commission acknowledged that “there is no traditional discovery process in Texas that allows the State to obtain evidence from a criminal defendant.” The Commission further acknowledged that the state of law in Texas as to whether an attorney has a selfexecuting obligation to turn over certain kinds of evidence, including fruits and instrumentalities of a crime, is unclear, but that “a Texas court might recognize a selfexecuting obligation to produce Special Criminal Evidence. If so, a violation of that obligation would be “unlawful” for purposes of Rule 3.04.”

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With respect to the issue presented, the Commission concluded that the lawyer did not have an obligation to turn over the letters he received from his incarcerated client in the absence of a court order or agreement to do so.

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Opinion 504 August 1994 Tex. Comm. on Professional Ethics, Op. 504, V. 58 Tex. B.J. 718 (1995)

[PEC Matter No. 93-5] QUESTION PRESENTED Does a lawyer's duty of candor to a tribunal under Texas Disciplinary Rule 3.03 require defense counsel in a criminal case to correct mistaken or inaccurate statements made in court by a prosecutor about prior convictions of the defendant, if neither the defense lawyer nor the defendant makes any false statements to the court about such matters?

STATEMENT OF FACTS Defendant in criminal trial asserted his Fifth Amendment privilege against self-incrimination and did not testify. The prosecutor introduced evidence in the form of affidavits and police reports, and the court ruled that the defendant was guilty. During the sentencing and punishment phase of the trial, the judge asked defense counsel whether he intended to seek to qualify defendant for probation. Defense counsel advised the court that probation could be considered under applicable law regardless if the defendant testified or not as to the absence of any prior felony convictions. The judge then asked the prosecutor, "Does the defendant have any prior convictions?" The prosecutor mistakenly stated to the court that police records reflect that defendant has no prior convictions. Prosecutor turned to the defendant and asked, "Right?" The defendant and defense counsel make no statement and the court granted probation of defendant's sentence.

When the judge asked the prosecutor about prior convictions of defendant, defense counsel knew that the prosecutor's statement to the court was inaccurate because defendant had previously informed defense counsel about his prior felony convictions. After the trial concluded, defense counsel advised defendant that if he is asked by probation officials about his prior arrests or convictions, defendant must answer and must answer truthfully. In fact, probation officials subsequently learn about defendant's prior convictions as a result at a post-trial interview in which the defendant answered such questions truthfully about his prior convictions.

DISCUSSION Ethical dilemmas arising under Texas Disciplinary Rule 3.03 present very difficult issues because ethics rules governing lawyers' conduct attempt to balance, on the one hand, a lawyer's duty of candor to the court and, on the other hand, a lawyer's duty of loyalty to and zealousness on behalf of a client, along with a duty to maintain confidential client information. Establishing the line between these competing obligations requires an examination of the specific facts in view of the standards for candor to the tribunal articulated in the Texas Disciplinary Rules.

Pursuant to Texas Disciplinary Rule 3.03(a)(1), a lawyer may not knowingly make a false statement of material fact or law to a tribunal; pursuant to Texas Disciplinary Rule 3.03(a)(2), a lawyer may not knowingly fail to disclose a fact to a tribunal when disclosure is necessary to avoid assisting a criminal or fraudulent act; pursuant to Texas Disciplinary Rule 3.03(a)(5), a lawyer may not knowingly offer or use evidence that the lawyer knows to be false. These rules constitute exceptions to a lawyer's duty to maintain client confidential information under Texas Disciplinary Rule 1.05.

The particular question presented in the Statement of Facts does not involve a lawyer knowingly making a false statement of material fact or law, or a situation where the client has permitted perjury or made a fraudulent statement in which the lawyer's silence may be tantamount to assisting a criminal or fraudulent act. Rather, the situation presents the issue of whether a lawyer may remain silent when neither he nor his client has made a false statement to the tribunal, but the lawyer knows that the court is relying upon mistaken or inaccurate information stated in court to the benefit of his client.

Several situations related to the issue of a criminal lawyer's silence about his client's prior criminal convictions have been considered in ethics opinions previously issued by the American Bar Association Committee on Ethics and Professional Responsibility. In ABA Formal Opinion 287 (1953) dealing with the earlier ABA Canons of Professional Ethics, three very similar situations were considered. These situations included: (1) the judge asks the defendant whether he has a criminal record and the defendant falsely answers that he has none; (2) the judge asks the defendant's lawyer whether his client has a criminal record; and 3) the judge is told in court by the custodian of criminal records that the defendant has no criminal record and the lawyer knows this information is incorrect based upon his own investigation or upon his client's prior disclosure of information to him.

The ABA Committee concluded under the earlier Canons of Professional Ethics that in each of these three situations, the lawyer's obligation under Canon 37 to preserve a client's confidential information prohibits any disclosure to the court of information the lawyer has concerning his client's prior criminal record. However, the lawyer must not make any false statement to the court.

After adoption of the Model Rules of Professional Conduct by the American Bar Association, the ABA's Committee on Professional Ethics reconsidered the issues presented in Formal Opinion 287. In ABA Formal Opinion 87-353 issued in 1987, the ABA Committee stated that Model Rule 3.3(a) and 3.3(b), which are virtually identical to Texas Disciplinary Rules 3.03(a)(1) and (2), represent a major policy change with regard to a lawyer's duty when his client testifies falsely. It is now mandatory under Texas Disciplinary Rule 3.03(a)(1) (as well as under Model Rule 3.3(a)), that when a lawyer knows that his client has committed perjury, the lawyer must disclose this knowledge to the tribunal if the lawyer cannot persuade the client to rectify the perjury. A lawyer's silence under those circumstances will have the effect of corroborating or assisting fraudulent misstatements made by a client.

Likewise, under Texas Disciplinary Rule 3.03(a)(1) of the Texas Disciplinary Rules (and Model Rule 3.3(a)(1) and if a judge specifically asks the defendant's lawyer whether his client has any prior criminal convictions, the lawyer may not make any false statements of fact to the court.

If the question by the court to the defendant's lawyer follows an inaccurate statement in court by another person such as in the Statement of Facts, the lawyer must correct the inaccurate information made in court by a person other than the lawyer or his client, or make some other statement to the court indicating that the lawyer refuses to corroborate the inaccurate statement, or the lawyer may ask the court to excuse him from answering the question. If the lawyer refuses to corroborate the inaccurate statement or ask to be excused from answering the question, the court is at least alerted to a problem and presumably will inquire further to discover the truth.

Texas Disciplinary Rule 3.03(a)(2) requires disclosure to the tribunal only when it is necessary for a lawyer to "avoid assisting a criminal or fraudulent act." Hence, a lawyer's silence in the absence of client fraud or perjury does not require disclosure of the client's confidential information or correcting false information provided to the court by persons other than the lawyer

or his client.

Texas Disciplinary Rule 3.03(a)(5) further provides that a lawyer shall not knowingly "offer or use evidence that the lawyer knows to be false." Does silence by the lawyer and his client in the situation described in the Statement of Facts constitute the use of evidence that the lawyer knows to be false? The phrase "or use" evidence was added into Texas Disciplinary Rule 3.03(a)(5) primarily to address a circumstance where a client or other witness who testified truthfully under direct examination later provides false testimony under cross-examination by another party. See Schuwerk & Sutton, A Guide to the Texas Disciplinary Rules of Professional Conduct, 27A Houston Law Review 1, 264, 265 (October 1990). Comment 13 to Texas Disciplinary Rule 3.03 suggests that while a lawyer should urge his client to correct or withdraw false evidence given in cross-examination, disclosure of such perjured testimony or other false evidence given during examination by another party is discretionary rather than mandatory.

Accordingly, silence by the lawyer under the Statement of Facts should not be deemed to be "use" of false testimony under Texas Disciplinary Rule 3.03(a)(5).

CONCLUSION Since neither lawyer or his client in the Statement of Facts made a false statement to the court, the lawyer has not violated Texas Disciplinary Rule 3.03(a)(1); since the client did not commit fraud or perjury, the lawyer's silence does not constitute assisting a criminal or fraudulent act. The lawyer may remain silent without violating Texas Disciplinary Rule 3.03, and therefore is prohibited under the Texas Disciplinary Rule 1.05 from disclosing confidential information about his client's prior convictions.

Opinion Number 570 May 2006 QUESTION PRESENTED Under the Texas Disciplinary Rules of Professional Conduct, may a lawyer refuse a former client's request to disclose or turn over the lawyer's notes made in the course of and in furtherance of his representation of the client?

STATEMENT OF FACTS A former client of a lawyer has demanded to see the lawyer's file on the representation of the client. The lawyer has previously provided copies of most of the file to the former client but has withheld copies of the lawyer's notes created during the representation of the client. The lawyer is not claiming a lawyer's lien or other similar right over the notes.

DISCUSSION Although no lawyer's lien is asserted in this case, the issue here considered has arisen in the past primarily in cases in which the lawyer was asserting such a lien. In the context of cases concerning a lawyer's lien, this Committee has distinguished between matters of legal ethics and matters of law. Specifically, prior Professional Ethics Committee Opinions have recognized that a lawyer is permitted to retain a client file pursuant to a proper legal claim so long as doing so will not prejudice the client in the subject matter of the representation. See e.g. Opinion 411 (January 1984) and Opinion 395 (May 1979, modified March 1980).

It is also important to note that a lawyer's file may contain many different types of documents or records created by the lawyer, documents obtained from the client, documents obtained from third persons, pleadings, court orders and contracts. A lawyer's ethical obligations may vary depending on the type, source, or content of the document and other relevant factors. This opinion is limited to a consideration of the issue with respect to notes created by a lawyer, and this opinion does not address the issue with respect to other types of documents or information contained in a lawyer's file.

Rule 1.14(b) of the Texas Disciplinary Rules of Professional Conduct provides that "[e]xcept as stated in this Rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client ... any funds or other property that the client ... is entitled to receive ...." In Hebisen v. State, 615 S.W. 2d 866 (Tex. App. Houston [1st Dist.] 1981, no writ), the court interpreted the meaning of the predecessor of current Rule 1.14(b), holding that the term "other properties" included the client's papers and other documents that the lawyer had in his file. 615 S.W.2d at 868.

Rule 1.15(d) provides as follows:

"(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payments of fee that has not been earned. The lawyer may retain papers relating to the client to the extent permitted by other law only if such retention will not prejudice the client in the subject matter of the representation."

Read together, Rules 1.14(b) and 1.15(d) provide that, generally, the documents in a lawyer's file that are property to which the client is entitled must be transferred to the client upon request unless the lawyer is permitted by law to retain those documents and can do so without prejudicing the interests of the client in the subject matter of the representation.

In In re George, 28 S.W.3d 511 (Tex. 2000), the Court ruled on the issue of whether the work product of disqualified counsel should be made available to the disqualified counsel's client and successor counsel. The Court struggled with the conflict between the client's right to access work product and the interest in preserving the purposes of the underlying disqualification by restricting access to the tainted work product. In the course of its analysis, the Court noted that "[t]he attorney is the agent of the client, and the work product generated by the attorney in representing the client belongs to the client." 28 S.W.3d at 516, citing Rule 1.15(d) and the opinion in Hebisen v. State, discussed above.

In Occidental Chemical Corp. v. Banales, 907 S.W.2d 488, 490 (Tex. 1995), the Texas Supreme Court described the work product privilege: "First, the privilege protects the attorney's thought process, which includes strategy decisions and issue formulation, and notes or writings evincing those mental processes.

Second, the privilege protects the mechanical compilation of information to the extent such compilation reveals the attorney's thought processes." 907 S.W.2d at 490.

Work product has been subsequently defined in Rule 192.5(a) of the Texas Rules of Civil Procedure as follows: "(a) Work product defined. Work product comprises: (1) material prepared or mental impressions developed in anticipation of litigation or for trial by or for a party or a party's representatives, including the party's attorneys, consultants, sureties, indemnitors, insurers, employees, or agents: or (2) a communication made in anticipation of litigation or for trial between a party and the party's representatives or among a party's representatives, including the party's attorneys, consultants, sureties, indemnitors, insurers, employees, or agents."

In Resolution Trust Corporation v. H ___, P.C., 128 F.R.D. 647 (N.D. Tex. 1989), the court considered the issue of the ownership of files generated by a law firm during its representation of a client and determined that the entire contents of the law firm's files concerning the representation of the client belonged to the client and ordered the law firm to turn over the entire contents of the firm's files, including work product generated by the lawyer such as notes and legal memoranda. In reaching this decision the court considered the predecessor to current Rule 1.14(b), this Committee's Opinion 395 (May 1979, modified March 1980), Hebisen v. Texas, 615 S.W. 2d 866 (discussed above), and Matter of Kaleidoscope, Inc., 15 Bankr. 232 (Bankr. N.D. Ga. 1981), rev'd on other grounds, 25 Bankr. 729 (D.C. Ga. 1982). The court considered and rejected arguments

that the files did not have to be turned over when there were allegations of misconduct by the lawyer or because the documents contained information that was attorney-client privileged or work product (including documents produced in anticipation of litigation with the client).

Restatement (Third) of The Law Governing Lawyers (American Law Institute 2000) (the "Restatement") Section 46 addresses a lawyer's duty to provide to the client documents held by the lawyer. A portion of the discussion in Comment c to Section 46 of the Restatement recognizes circumstances that Texas courts have not recognized but that some courts in other jurisdictions have found would justify not providing a portion of a lawyer's client file to the client: "A lawyer may refuse to disclose to the client certain law-firm documents reasonably intended only for internal review, such as a memorandum discussing which lawyers in the firm should be assigned to a case, whether a lawyer must withdraw because of the client's misconduct, or the firm's possible malpractice liability to the client. The need for lawyers to be able to set down their thoughts privately in order to assure effective and appropriate representation warrants keeping such documents secret from the client involved ....."

In light of the Texas cases discussed above that recognize a strong obligation on Texas lawyers to provide files to clients and in the absence of any Texas court decision recognizing a limitation such as that stated in the Restatement passage quoted above, the Committee is of the opinion that the exception described in the quoted passage for internal law-firm materials relating to a client should not apply in the application of Rules 1.14(b) and 1.15(d). As in all other circumstances, the lawyer is an agent of and in a fiduciary relationship with the client. The Committee recognizes that a lawyer's motivation for withholding his notes from a client may be the result of a temptation to put the lawyer's own interests ahead of those of the client. The Committee believes that allowing a lawyer to unilaterally make a decision to withhold from a client notes relating to the client and created in the course of the representation of the client because the notes may reflect the firm's interests vis-à-vis the client undermines the duties owed by the lawyer to the client. In addition, withholding such notes from a client denies the client the full benefit of the services the lawyer agreed to provide to the client.

However, like the Restatement, the Committee recognizes that there are some other unusual circumstances that would justify the withholding of certain lawyer's notes from a client. Examples include notes that contain information obtained in discovery subject to a court's protective order forbidding disclosure of the information to the client, notes where the disclosure would violate the lawyer's duty to another person, and notes containing information that could reasonably be expected to cause serious harm to a mentally ill client. See generally Comment c to Section 46 of the Restatement. These exceptions are based on a lawyer's duties owed to others, including other clients, third persons and courts, or to the client, but are not based on the lawyer's own interests or concerns vis-àvis the client. Thus, a lawyer may withhold from a client or former client certain specific notes (or portions of notes) when required to do so by a court or when not doing so would violate a duty owed to a third person or risk causing serious harm to the client.

Accordingly, documents that the former client is entitled to obtain include a lawyer's notes that constitute work product and relate to the client and the lawyer's representation of the client. Rule 1.15(d) requires that any such documents must be given to the client upon request unless the lawyer is permitted by the exceptions

discussed above or by other law to retain those documents and can do so without prejudicing the interests of the former client in the subject matter of the representation.

CONCLUSION Under the Texas Disciplinary Rules of Professional Conduct, a lawyer must upon request provide to a former client the notes of the lawyer from the lawyer's file for that former client except when the lawyer has the right to withhold the notes pursuant to a legal right such as a lawyer's lien, when the lawyer is required to withhold the lawyer's notes (or portions thereof) by court order, or when not withholding the notes (or portions thereof) would violate a duty owed to a third person or risk causing serious harm to the client.

THE PROFESSIONAL ETHICS COMMITTEE FOR THE STATE BAR OF TEXAS Opinion No. 665 December 2016

QUESTIONS PRESENTED 1. What are a Texas lawyer’s obligations under the Texas Disciplinary Rules of Professional Conduct to prevent the inadvertent transmission of metadata containing a client’s confidential information?

2. What are a Texas lawyer’s obligations under the Texas Disciplinary Rules of Professional Conduct when the lawyer receives from another lawyer a document that contains metadata that the receiving lawyer believes contains and inadvertently discloses confidential information of the other lawyer’s client? For example, is the receiving lawyer permitted to search for, extract, and use the confidential information, and is the receiving lawyer required to notify the other lawyer of the receipt of the confidential information?

STATEMENT OF FACTS Lawyer A represents a client in the settlement of a civil lawsuit. Lawyer A sends a draft settlement agreement to opposing counsel, Lawyer B, as an attachment to an email. The attachment includes embedded data, commonly called metadata. This metadata is digital data that is not immediately visible when the document is opened by the recipient of the email but can be read either through the use of certain commands available in word-processing software or through the use of specialized software. In this case, the metadata includes information revealing confidential information of the client of Lawyer A related to ongoing settlement negotiations. Lawyer B has no reason to believe that Lawyer A intended to include this metadata in the attachment.

DISCUSSION In this opinion, “confidential information” refers to both privileged information and unprivileged client information, as defined in Rule 1.05(a) of the Texas Disciplinary Rules of Professional Conduct.

The exchange of electronic documents is an essential part of modern law practice. When an electronic document is created or edited, some computer programs will automatically embed information in the document. Embedded information that describes the history, tracking, or management of an electronic document is commonly known as “metadata.” A common example of metadata is embedded information that describes the identity of the owner of the computer that created the document and the date and time of creation. Similarly, some computer programs use

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embedded metadata to track the changes made to a document as well as the comments of the various reviewers of the document.

Frequently the exchange of metadata between lawyers is either mutually beneficial or otherwise harmless, such as when a lawyer intentionally transmits a document containing tracked changes in order to facilitate the negotiating process. However, the inadvertent disclosure of metadata containing a client’s confidential information could be harmful to the client. The risk of such inadvertent disclosure is heightened by the fact that metadata is generally not visible from the face of an electronic document unless the user takes some additional action.

The first question raised is whether the Texas Disciplinary Rules of Professional Conduct require lawyers to take steps to prevent the inadvertent transmission of metadata containing confidential information. The answer is governed by Rules 1.01 and 1.05.

With certain exceptions not relevant here, Rule 1.01 generally prohibits a lawyer from accepting or continuing “employment in a legal matter which the lawyer knows or should know is beyond the lawyer’s competence.” “Competence,” as defined by the Terminology Section of the Texas Disciplinary Rules, “denotes possession or the ability to timely acquire the legal knowledge, skill, and training reasonably necessary for the representation of the client.”

Rule 1.05 generally prohibits lawyers from knowingly revealing confidential information to a lawyer representing the opposing party, subject to limited exceptions set out in the Rule. Rule 1.05 reflects a lawyer’s duty “to maintain confidentiality of information acquired by the lawyer during the course of or by reason of the representation of the client.” Comment 2 to Rule 1.05.

“Knowingly,” as used in Rule 1.05, “denotes actual knowledge of the fact in question. A person’s knowledge may be inferred from circumstances.” Terminology Section of the Texas Disciplinary Rules.

In the opinion of the Committee, a lawyer’s duty of competence requires that lawyers who use electronic documents understand that metadata is created in the generation of electronic documents, that transmission of electronic documents will include transmission of metadata, that the transmitted metadata may include confidential information, that recipients of the documents can access metadata, and that actions can be taken to prevent or minimize the transmission of metadata. Lawyers therefore have a duty to take reasonable measures to avoid the transmission of confidential information embedded in electronic documents, including the employment of reasonably available technical means to remove such metadata before sending such documents to persons to whom such confidential information is not to be revealed pursuant to the provisions of Rule 1.05. Commonly employed methods for avoiding the disclosure of confidential information in metadata include the use of software to remove or “scrub” metadata from the document before transmission, the conversion of the document into another format that does not preserve the original metadata, and transmission of the document by fax or hard copy.

Whether a lawyer has taken reasonable measures to avoid the disclosure of confidential information in metadata will depend on the factual circumstances. Relevant factors in determining reasonableness include the steps taken by the lawyer to prevent the disclosure of the confidential information in metadata, the sensitivity of the metadata revealed, the identity of the intended 2

recipient, and other considerations appropriate to the facts. Not every inadvertent disclosure of confidential information in metadata will violate Rule 1.05.

The second question is whether the Texas Disciplinary Rules impose particular duties on a lawyer who receives an electronic document containing metadata that appears to include confidential information of another party. There is no specific provision in the Texas Disciplinary Rules requiring a lawyer to take or refrain from taking any particular action in such a situation.

See Professional Ethics Committee Opinion 664 (October 2016) (“The Texas Disciplinary Rules of Professional Conduct do not prescribe a specific course of conduct a lawyer must follow upon the unauthorized or inadvertent receipt of another party’s confidential information outside the normal course of discovery.”).

In the absence of specific provisions of the Texas Disciplinary Rules governing this situation, the Committee can offer only limited guidance for lawyers dealing with the receipt of documents containing metadata. In most circumstances, the provisions of the Texas Disciplinary Rules that must be considered by lawyers with respect to the receipt of documents containing metadata are Rule 8.04(a)(3), which requires that a lawyer shall not “engage in conduct involving dishonesty, fraud, deceit or misrepresentation,” and Rule 3.03(a)(1), which requires that a lawyer shall not knowingly “make a false statement of material fact or law to a tribunal.” Thus, although the Texas Disciplinary Rules do not prohibit a lawyer from searching for, extracting, or using metadata and do not require a lawyer to notify any person concerning metadata obtained from a document received, a lawyer who has reviewed metadata must not, through action or inaction, convey to any person or adjudicative body information that is misleading or false because the information conveyed does not take into account what the lawyer has learned from such metadata.

For example, a Texas lawyer, in responding to a question, is not permitted to give an answer that would be truthful in the absence of metadata reviewed by the lawyer but that would be false or misleading when the lawyer’s knowledge gained from the metadata is also considered.

The Committee notes that professional ethics standards in some other jurisdictions include specific requirements applicable to this situation. These specific requirements vary from state to state and may include a requirement to notify the sender of a document believed to contain inadvertently sent metadata and a requirement not to search for or read such metadata. For example, a number of jurisdictions have adopted part or all of the approach used in the current version of Rule 4.4(b) of the American Bar Association Model Rules of Professional Conduct, which provides: “A lawyer who receives a document or electronically stored information relating to the representation of the lawyer’s client and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender.”

To the extent a Texas lawyer becomes subject to the disciplinary rules of other jurisdictions, the lawyer may be subject to additional requirements concerning the treatment of metadata that would not be applicable if only the Texas Disciplinary Rules of Professional Conduct were considered.

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The Committee also cautions that a lawyer’s conduct upon receipt of an opponent’s confidential information may have material consequences for the client, including the possibility of procedural disqualification. See In re Meador, 968 S.W.2d 346, 351-52 (Tex. 1998) (in a case not involving metadata, discussing factors to be considered in deciding whether to disqualify counsel who received the opposing party’s privileged information outside of discovery, including the promptness with which the lawyer notified the opposing counsel of the circumstances). If in a given situation a client will be exposed to material risk by a lawyer’s intended treatment of an opponent’s inadvertently transmitted confidential information contained in metadata, the lawyer should discuss with the client the risks and benefits of the proposed course of action as well as other possible alternatives so that the client can make an informed decision. See Rule 1.03(b) (“A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.”).

This opinion applies only to the voluntary transmission of electronic documents outside the normal course of discovery. The production of electronic documents in discovery is governed by court rules and other law, which may prohibit the removal or alteration of metadata. Court rules may also govern the obligations of a lawyer who receives inadvertently transmitted privileged information in the course of discovery. See, e.g., Tex. R. Civ. P. 193.3(d).

CONCLUSION The Texas Disciplinary Rules of Professional Conduct require lawyers to take reasonable measures to avoid the transmission of confidential information embedded in electronic documents, including the employment of reasonably available technical means to remove such metadata before sending such documents to persons other than the lawyer’s client. Whether a lawyer has taken reasonable measures to avoid the disclosure of confidential information in metadata will depend on the factual circumstances.

While the Texas Disciplinary Rules of Professional Conduct do not prescribe a specific course of conduct for a lawyer who receives from another lawyer an electronic document containing confidential information in metadata that the receiving lawyer believes was not intended to be transmitted to the lawyer, court rules or other applicable rules of conduct may contain requirements that apply in particular situations. Regardless, a Texas lawyer is required by the Texas Disciplinary Rules to avoid misleading or fraudulent use of information the lawyer may obtain from the metadata. In the absence of specific governing provisions, a lawyer who is considering the proper course of action regarding confidential information in metadata contained in a document transmitted by opposing counsel should determine whether the possible course of action poses material risks to the lawyer’s client. If so, the lawyer should explain the risks and potential benefits to the extent reasonably necessary to permit the client to make informed decisions regarding the matter.

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THE PROFESSIONAL ETHICS COMMITTEE FOR THE STATE BAR OF TEXAS OPINION NO. 680 September 2018

QUESTION PRESENTED Under the Texas Disciplinary Rules of Professional Conduct may a lawyer use cloud-based client data storage systems or use cloud-based software systems for the creation of client-specific documents where confidential client information is stored or submitted to a cloud-based system?

STATEMENT OF FACTS A lawyer is considering subscribing to various cloud-based electronic storage and software systems that allow users to store confidential client information or prepare form legal documents by uploading confidential client information for insertion into those form documents. The lawyer is concerned because these cloud-based electronic storage and software systems are owned by private companies, the various computer servers on which this client confidential information would reside are or may be located in other countries, the client information could be accessed by employees of these private companies, and there is the possibility of these servers and the confidential information residing on them being “hacked” by third parties or being rendered inaccessible as a result of a cloud storage vendor going out of business. The lawyer questions whether it is ethical to use cloud-based electronic storage or software systems given these conditions and the potential disclosure risks to confidential client information.

DISCUSSION Rule 1.05(a) of the Texas Disciplinary Rules of Professional Conduct broadly defines client “confidential information” as including both “privileged information” and “unprivileged client information.” The latter means “all information relating to a client or furnished by the client, other than privileged information, acquired by the lawyer during the course of or by reason of the representation of the client.” Rule 1.05(a).

Rule 1.05(b) provides in part that, “[e]xcept as permitted by paragraphs (c) and (d), or as required by paragraphs (e) and (f), a lawyer shall not knowingly: (1) Reveal confidential information of a client or former client to: (i) a person that the client has instructed is not to receive the information; or 1

(ii) anyone else, other than the client, the client’s representatives, or the members, associates, or employees of the lawyer’s law firm.”

A lawyer violates Rule 1.05 if the lawyer knowingly reveals confidential information to any person other than those persons who are permitted or required to receive the information under paragraphs (b), (c), (d), (e), or (f) of the Rule. The Terminology section of the Rules states that “ʻ[k]nowinglyʼ . . . denotes actual knowledge of the fact in question” and that a “person’s knowledge may be inferred from circumstances.”

Professional Ethics Opinion 648 (April 2015) addressed the question of whether a lawyer could ethically transmit client confidential information by email. The Committee concluded that, “considering the present state of technology and email usage, a lawyer may generally communicate confidential information by email. Some circumstances, may, however, cause a lawyer to have a duty to advise a client regarding risks incident to the sending or receiving of emails arising from those circumstances and to consider whether it is prudent to use encrypted email or another form of communication.” Similarly, Opinion 572 (June 2006) determined that, “[u]nder the Texas Disciplinary Rules of Professional Conduct, unless the client has instructed otherwise, a lawyer may deliver materials containing privileged information to an independent contractor, such as a copy service, hired by the lawyer in the furtherance of the lawyer's representation of the client if the lawyer reasonably expects that the confidential character of the information will be respected by the independent contractor.”

Cloud-based electronic storage and software systems are in wide use among the general public and lawyers. While wide usage of an information storage method or software document creation system is not, in itself, justification for its use by lawyers, alternative methods of information storage and document preparation also have an inherent risk of disclosure or misuse—just as a privileged letter to a client through the U.S. Postal Service (versus transmission through email) can be intercepted or accessed by third parties and a client’s file in a lawyer’s office may be susceptible to access or disclosure by unauthorized parties without the lawyer “knowingly” revealing that information.

Considering the present state of technology, its common usage to store confidential information, and the potential cost and time savings for clients, a lawyer may use cloudbased electronic data systems and document preparation software for client confidential information; however, lawyers should remain continually alert to the vulnerability of cloud-based vendors and systems to data breaches and whether a particular vendor or system appears to be unusually vulnerable, based on systemic failures by that vendor or system of which the lawyer should be aware. In certain circumstances, a lawyer may decide that some client confidential information is too vulnerable to unauthorized access or disclosure to risk its storage or use in a cloud-based electronic system or too vulnerable to such risk without that data being adequately encrypted or without additional technological safeguards in place. Data “hacking” by third parties is becoming increasingly well-known and can even occur with respect to client confidential information 2

stored on a server within a law firm. Therefore, a lawyer should remain reasonably aware of changes in technology and the associated risks—without unnecessarily retreating from the use of new technology that may save significant time and money for clients. In some circumstances it may be appropriate to confer with a client regarding these risks as applicable to a particular matter and obtain a client’s input regarding or consent to using cloud-based electronic data systems and document preparation software. Of course, if a client has given specific instructions regarding the use and protection of its client confidential information in a matter those instructions must be followed except when otherwise required or permitted by the provisions of Rule 1.05.

Still, a lawyer must take reasonable precautions in the adoption and use of cloudbased technology for client document and data storage or the creation of client-specific documents that require client confidential information. These reasonable precautions include: (1) acquiring a general understanding of how the cloud technology works; (2) reviewing the “terms of service” to which the lawyer submits when using a specific cloudbased provider just as the lawyer should do when choosing and supervising other types of service providers; (3) learning what protections already exist within the technology for data security; (4) determining whether additional steps, including but not limited to the encryption of client confidential information, should be taken before submitting that client information to a cloud-based system; (5) remaining alert as to whether a particular cloudbased provider is known to be deficient in its data security measures or is or has been unusually vulnerable to “hacking” of stored information; and (6) training for lawyers and staff regarding appropriate protections and considerations. These precautions do not require lawyers to become experts in technology; however, they do require lawyers to become and remain vigilant about data security issues from the outset of using a particular technology in connection with client confidential information. The Committee refrains from setting out specific requirements for assessing reasonableness since some precautions become obsolete over time with changing technologies and the risks may change as well.

Rule 1.01(a) requires that lawyers exhibit “competence” in representing clients. In Opinion 665 (December 2016), the Committee applied Rule 1.01 to a question involving a lawyer’s inadvertent transmission to third parties of electronic metadata within client documents and concluded that the Rule’s “competency” requirement was applicable to a lawyer’s technological competence in preserving client confidential information. The Committee reiterates here the necessity of competence by lawyers and their staff regarding data protection considerations of cloud-based systems.

CONCLUSION Under the Texas Disciplinary Rules of Professional Conduct, a lawyer may use a cloud-based electronic data storage system or cloud-based software document preparation system to store client confidential information or prepare legal documents. However, lawyers must remain alert to the possibility of data breaches, unauthorized access, or disclosure of client confidential information and undertake reasonable precautions in using those cloud-based systems.

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THE PROFESSIONAL ETHICS COMMITTEE FOR THE STATE BAR OF TEXAS Opinion No. 690 October 2020

QUESTION PRESENTED Does a lawyer who represents a defendant in a criminal matter violate the Texas Disciplinary Rules of Professional Conduct if, after receiving tangible evidence from the lawyer’s client, the lawyer does not reveal the existence of the evidence until trial and refuses to allow the prosecuting attorney to inspect the evidence until the court orders the lawyer to do so?

STATEMENT OF FACTS A lawyer represents a client who is in jail awaiting trial in a felony domestic violence case.

While in jail, the defendant receives several letters from a victim in the case that contain relevant information. The defendant gives those letters to the lawyer, who takes the letters to his office for safekeeping. The lawyer does not reveal the existence of the letters until trial. The prosecuting attorney informally asks to inspect the letters, but the lawyer refuses. The lawyer continues to refuse to allow inspection of the letters until ordered to do so by the court after a hearing.

DISCUSSION “Unlawful” obstruction or concealment in general. Rule 3.04(a) of the Texas Disciplinary Rules of Professional Conduct prohibits the unlawful obstruction, concealment, alteration or destruction of evidence. Rule 3.04(a) provides: “A lawyer shall not . . . unlawfully obstruct another party’s access to evidence; in anticipation of a dispute unlawfully alter, destroy or conceal a document or other material that a competent lawyer would believe has potential or actual evidentiary value; or counsel or assist another person to do any such act.”

To constitute a violation of Rule 3.04(a), the obstruction or concealment must be done “unlawfully.” The term “unlawfully” is not defined in the Rules. Nevertheless, as discussed below, the term “unlawfully” is generally understood to refer to conduct that violates a statute, court order, or other mandatory disclosure obligation.

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Any obstruction or concealment that violates criminal law would clearly be “unlawful” and therefore would violate Rule 3.04(a). Criminal conduct related to obstruction or concealment could also likely violate subsections (2), (3), (4), or (12) of Rule 8.04(a): “A lawyer shall not: ...

(2) commit a serious crime or commit any other criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects; (3) engage in conduct involving dishonesty, fraud, deceit or misrepresentation; (4) engage in conduct constituting obstruction of justice; . . . [or] (12) violate any other laws of this state relating to the professional conduct of lawyers and to the practice of law.”

Whether particular conduct violates a criminal obstruction statute is a question of substantive law that is outside the Committee’s purview. The Committee is not aware of any authority holding that it is a crime for a lawyer to accept and retain ordinary tangible evidence from a client accused of a crime.

Obstruction or concealment of evidence is also “unlawful” if it violates a court order. For example, a lawyer in possession of tangible evidence may violate Rule 3.04(a) by knowingly failing to obey a court order requiring production of the evidence. Such conduct could also violate Rule 3.04(d), which provides: “A lawyer shall not . . . knowingly disobey, or advise the client to disobey, an obligation under the standing rules of or a ruling by a tribunal except for an open refusal based either on an assertion that no valid obligation exists or on the client’s willingness to accept any sanctions arising from such disobedience.”

Finally, a lawyer acts “unlawfully” for purposes of Rule 3.04(a) if the lawyer knowingly fails to provide evidence when disclosure is mandated by the rules of the tribunal, a subpoena, a discovery obligation, a cooperation agreement, or the like (hereafter, a “Mandatory Disclosure Obligation”). It is not unlawful, however, for an attorney to withhold ordinary tangible evidence pending a ruling on a good faith, legally available objection, motion for protection, or other procedurally legitimate challenge to a Mandatory Disclosure Obligation.

Mandatory Disclosure Obligations of criminal defense counsel. There is no traditional discovery process in Texas that allows the State to obtain evidence from a criminal defendant.

Absent a court order, therefore, a lawyer who receives ordinary tangible evidence from a client

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generally does not have an obligation to turn over the evidence to the prosecuting authority. In such a situation, the lawyer does not act unlawfully, and consequently does not violate Rule 3.04(a), merely by maintaining non-destructive custody of such evidence.

Special Criminal Evidence. It is generally accepted that a lawyer has a self-executing obligation to turn over some special types of tangible evidence. This opinion will refer to such evidence as “Special Criminal Evidence,” as opposed to “ordinary evidence.” The definition of Special Criminal Evidence varies by jurisdiction, but generally includes contraband, the instrumentalities of a crime, or the fruits of a crime. Common examples are illegal narcotics, a murder weapon, and stolen jewelry. Depending on the jurisdiction, the definition of Special Criminal Evidence may also include documents and records directly involved in the perpetration of a crime, such as book-making receipts or falsified records, as well as other direct evidence of the client’s involvement in the crime (such as a bloody glove). The rationales offered to support the obligation to turn over Special Criminal Evidence are that (1) possession of such evidence— by anyone—is usually illegal, (2) preparing the client’s defense does not require counsel to possess the evidence, and (3) any evanescent evidence (such as fingerprints) could degrade while in the lawyer’s possession.

Most United States courts that have considered the issue have held that a lawyer who comes into possession of Special Criminal Evidence—however defined in that jurisdiction—has a selfexecuting obligation to turn over the evidence to police or other law enforcement authorities. See Rubin v. State, 602 A.2d 677, 686 (Md. 1992) (collecting cases); see also Hitch v. Pima County Superior Court, 708 P.2d 72, 75 (Ariz. 1985); In re Ryder, 381 F.2d 713, 714 (4th Cir. 1967) (“It is an abuse of a lawyer’s professional responsibility knowingly to take possession of and secrete the fruits and instrumentalities of a crime”); see generally Restatement (Third) of the Law Governing Lawyers § 119 (2000) (lawyer must notify prosecuting authorities or turn over the evidence after reasonable time for non-destructive testing); Gregory C. Sisk, The Legal Ethics of Real Evidence: Of Child Porn on the Choirmaster’s Computer and Bloody Knives under the Stairs; 89 Wash. L. Rev. 819 (2014); Stephen Gillers, Guns, Fruits, Drugs, and Documents: A Criminal Defense Lawyer’s Responsibility for Real Evidence, 63 Stan. L. Rev. 813 (2011).

It appears to be the general rule that, before turning over Special Criminal Evidence to law enforcement authorities, a lawyer may be allowed to examine the evidence and subject it to tests that do not alter or destroy material characteristics of the evidence. Restatement (Third) of the Law Governing Lawyers § 119 (2000). It also appears to be the general rule that if a lawyer turns over Special Criminal Evidence acquired from a client, the trial court should not allow the jury to learn the source of the evidence. See Rubin v. State, 602 A.2d at 688 (collecting cases); see also Henderson v. State, 962 S.W.2d 544, 556 (Tex. Crim. App. 1997) (holding that trial court properly compelled lawyer to turn over maps received from client when kidnapping victim was possibly still alive, but noting that neither the client’s communications to the attorney nor the attorney’s communications to law enforcement could be admitted at trial); Sanford v. State, 21 S.W.3d 337, 344 (Tex. App.—El Paso 2000, no pet.), abrogated on other grounds by Motilla v. State, 78 S.W.3d 352 (Tex. Crim. App. 2002) (“[b]y allowing the State to recover the evidence, the public

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interest is served, and by refusing the State an opportunity to disclose the source of the evidence, the attorney-client privilege is preserved”). At least one jurisdiction has endorsed a procedure designed to avoid disclosing the source of the evidence to the prosecution. See District of Columbia Rules of Professional Conduct, Rule 3.4, Comment 5 (D.C. Office of Bar Counsel may accept evidence and turn it over to proper authorities without revealing its source, thereby preserving the defense lawyer’s obligation of confidentiality).

At present, the scope of a lawyer’s self-executing obligation to turn over Special Criminal Evidence has not been well-defined in reported Texas law. E.g., Sanford v. State, 21 S.W.3d at 344, n. 6 (declining to decide question of whether attorney had an obligation to reveal to law enforcement the location of an instrumentality of the crime, which the lawyer had learned from client); Henderson v. State, 962 S.W.2d at 556 (referring to “cases in other states that require an attorney to release physical evidence in his possession to the authorities but prevent the government from disclosing to a trier of fact that the evidence came from the defendant’s attorney”). For purposes of this opinion it is sufficient to note that a Texas court might recognize a self-executing obligation to produce Special Criminal Evidence. If so, a violation of that obligation would be “unlawful” for purposes of Rule 3.04.

Application to assumed facts. The Committee now turns to the specific statement of facts presented at the start of this opinion. The assumed facts involve an incarcerated client who, during a jailhouse visit, gives tangible evidence (letters) to his lawyer. At the time of receipt, the lawyer is not subject to any order or agreement that mandates producing the evidence to the State. The lawyer declines to produce the letters in response to an informal request from the prosecuting attorney but produces the letters when ordered to do so by the trial court.

The lawyer is not subject to a self-executing obligation of production by virtue of the special character of the evidence. A letter from a victim does not qualify as Special Criminal Evidence, even if the letter might be incriminating or exculpatory. Specifically, such a letter is “ordinary evidence”—it is not contraband, a fruit or instrumentality of the alleged crime, a document directly involved in the perpetration of a crime, or other direct evidence of the client’s involvement in the crime (such as a bloody glove). A Texas criminal defense attorney has no obligation to turn over ordinary tangible evidence to the prosecuting attorney. That the lawyer receives the ordinary tangible evidence from an incarcerated client does not change the result, assuming the lawyer does not violate the law in the process.

No obligation to accept custody of evidence tendered by client accused of a crime. The Committee also notes that a lawyer is under no obligation to accept or act as custodian of tangible evidence tendered by a client accused of a crime. Assuming the lawyer does not believe the client will destroy the evidence if the lawyer refuses to accept it, and assuming the lawyer counsels the client as to the applicable laws regarding evidence preservation, the most prudent course is often to decline a client’s request to accept custody of evidence related to an alleged crime. See generally "What Do I Do with the Porn on My Computer”: How a Lawyer Should Counsel Clients About

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Physical Evidence, 54 Am. Crim. L. Rev. 751 (2017) (comprehensive discussion of advice that lawyers should give clients if lawyer declines to take possession of tangible evidence).

Unaddressed issues. This opinion does not address (a) the destruction or alteration of evidence, (b) a lawyer’s obligation with respect to mere information received from a client related to tangible evidence (e.g., the location of a corpse or murder weapon), (c) a lawyer’s obligation with respect to tangible evidence independently discovered by the lawyer or the lawyer’s agents, (d) evidence that is not provided directly to the lawyer by the client, or (e) evidence that might exonerate a co-defendant or third-party. The Committee also cautions that it offers no opinion regarding the application of criminal obstruction statutes and that prosecuting authorities may take a broad view on what conduct constitutes criminal obstruction or concealment.

CONCLUSION A lawyer who elects to take possession of tangible evidence from a client in a criminal matter may not conceal that evidence from a prosecuting attorney or obstruct access to that evidence if doing so would be “unlawful.” A lawyer’s conduct with regard to potentially relevant evidence is unlawful if it is prohibited by statute, court order, or Mandatory Disclosure Obligation, as defined above. In general, however, a Texas lawyer is not required to disclose ordinary tangible evidence in a criminal matter in the absence of a court order or agreement.

The common law may impose a self-executing obligation of disclosure if a lawyer takes possession of Special Criminal Evidence, such as contraband, instrumentalities of a crime, or fruits of a crime. The precise scope of such an obligation is a question of substantive Texas law to be addressed by the courts. The failure to comply with a judicially recognized obligation of disclosure would be considered “unlawful” and would violate Rule 3.04(a).

Under the facts stated in this opinion, a lawyer who obtains ordinary tangible evidence from an incarcerated client does not violate the Texas Disciplinary Rules of Professional Conduct by refusing to produce the evidence to the prosecuting attorney until ordered to do so.

A lawyer is under no obligation to accept tangible evidence from a client charged with a crime. Assuming the lawyer does not believe the client will destroy the evidence if the lawyer refuses to accept it, and counsels the client regarding evidence preservation, the most prudent course may be to decline a client’s request to accept custody of evidence related to an alleged crime.

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OUR HISTORY

Since 1971, Texas Criminal Defense Lawyers Association has provided a statewide forum for criminal defense lawyers. TCDLA is the only voice in the legislature interested in basic fairness in criminal cases.

From its beginning as a small association of 260 members, to today with a full staff, officers, board members and more than 2,500 members, TCDLA has played an important role among criminal defense lawyers, providing assistance, support and continuing education.

TCDLA has developed a number of affiliations over the last few years which provided a presence and eagerness to help criminal defense lawyers across the state of Texas.

TCDLA continues to foster these relationships and develop additional affiliations.

As part of this association you share a voice with 2,500 like mind individuals in more than 150 counties across the state.

The Texas Criminal Defense Lawyers Association strives to protect and ensure by rule of law those individual rights guaranteed by the Texas and Federal Constitutions in criminal cases; to resist the constant efforts which are being made to curtail these rights; to encourage cooperation between lawyers engaged in the furtherance of these objectives through educational programs and other assistance; and through this cooperation, education and assistance, to promote justice and the common good.

The Criminal Defense Lawyers Project strives to improve the competency of defense lawyers through designing and promoting a series of continuing legal education seminars and producing legal publications available at low cost to attorneys throughout the state.

The Texas Criminal Defense Lawyers Educational Institute is committed to ensuring the fair administration of justice in Texas through the continuing legal education of criminal defense lawyers and their staffs.

For more information about the association, or to learn about upcoming CLE seminars and events, please visit www.tcdla.com.

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TEXAS INDIGENT DEFENSE COMMISSION – ATTORNEY CASELOAD REPORTING & WEIGHTED CASELOAD STUDY HB 1318 was the most significant bill related to indigent defense passed by the 83rd Texas Legislature. It includes significant new reporting requirements related to caseloads handled by attorneys providing representation to indigent defendants. Commission staff met with a variety of stakeholders, including court and county officials, criminal defense practitioners, legislative staff, national authorities, and others to find ways to effectively implement HB 1318 in a seamless manner while providing meaningful information to policymakers.

New Attorney Reporting – HB 1318 included the following provision in Article 26.04, Code of Criminal Procedure: An attorney appointed under this article shall: … not later than October 15 of each year and on a form prescribed by the Texas Indigent Defense Commission, submit to the county information, for the preceding fiscal year, that describes the percentage of the attorney's practice time that was dedicated to work based on appointments accepted in the county under this article and Title 3, Family Code.

Beginning October 15, 2014, the bill requires all attorneys handling indigent defense cases to annually report to the county for the preceding fiscal year (October 1st - September 30th) the percentage of the attorney's practice time that was dedicated to appointed 1) criminal cases (trial and appeals) and 2) juvenile work (trial and appeals) in the county. This report should not include work on other types of appointed work such as CPS or guardianship cases, nor should it include practice time devoted to federal criminal appointments. Attorneys must submit this report to each county in which they accept appointments.

With significant input from TCDLA leadership, the Commission adopted this form and reporting instructions. The Commission is working with our partners at Texas A&M’s Public Policy Research Institute (PPRI) to create an electronic attorney reporting portal. This will permit attorneys to report their work in all counties at the same time directly to the Commission, with the report viewable by the counties. The judges in each county may specify through their indigent defense plan the method for attorneys to use for submitting their report (online or paper form).

Attorneys are not required to use a particular methodology to complete the practice time report. Some may do so by using time records, if they keep such records. Other attorneys may use a case counting methodology. The reporting form will ask the attorney to note what method(s) they used to calculate the percentage figures reported.

The Commission is working with TCDLA to develop a worksheet(s) that attorneys may use to help calculate the practice time percentages. The worksheet will help an attorney allocate their practice time among various case types and counties. Use of the worksheet is strictly voluntary and will not be submitted to the county or Commission.

Penalties for failing to submit a required practice time report by the October 15th due date may be prescribed by the judges handling criminal or juvenile cases in each county. Many judges have already chosen to amend their indigent defense plans to provide for an attorney’s removal from the list of attorneys eligible to receive future court appointments until they complete the report. This is similar to current enforcement of the annual CLE requirements.

Please review your local plan available at: http://tidc.tamu.edu/public.net/Reports/IDPlanNarrative.aspx

New County Reporting of Attorney Caseloads – HB 1318 included the following provision in Section 79.036, Government Code: Not later than November 1 of each year and in the form and manner prescribed by the commission, each county shall prepare and provide to the commission information that describes for the preceding fiscal year the number of appointments under Article 26.04, Code of Criminal Procedure, and Title 3, Family Code, made to each attorney accepting appointments in the county, and information provided to the county by those attorneys under Article 26.04(j)(4), Code of Criminal Procedure.

In addition to the attorney reporting requirements above, starting November 1, 2014 the bill requires each county to submit to the Commission annually the information provided to the county by the attorneys described above, along with information that describes for the preceding fiscal year the number of appointments made to each attorney accepting appointments in the county.

As to the new county reporting of case and fee data by attorney, the Commission decided based on its consultation with stakeholders to build on the existing reporting infrastructure in the annual Indigent Defense Expenditure Report (IDER). The IDER already requires county auditors (or treasurers) to report the aggregate number of cases paid by case type (Juvenile, Capital Murder, Adult Felony, Adult Misdemeanor, Juvenile Appeals, Felony Appeals, and Misdemeanor Appeals) and by court along with the amount paid each year by November 1st (the same date as the new reporting requirement). The new report will require this information to be broken down by attorney. County auditors have indicated that they already collect this information as part of the attorney payment process.

Weighted Caseload Study – HB 1318 included the following provision: Not later than January 1, 2015, the Texas Indigent Defense Commission shall conduct and publish a study for the purpose of determining guidelines for establishing a maximum allowable caseload for a criminal defense attorney that, when the attorney's total caseload, including appointments made under Article 26.04, Code of Criminal Procedure, appointments made under Title 3, Family Code, and other work, is considered, allows the attorney to give each indigent defendant the time and effort necessary to ensure effective representation. The study must be based on relevant policies, performance guidelines, and best practices. In conducting the study … the commission shall consult with criminal defense attorneys, criminal defense attorney associations, the judiciary, and any other organization engaged in the development of criminal indigent defense policy that the commission considers appropriate.

The goal is to provide policymakers with an objective analysis of the time required to represent different types of court-appointed cases. This kind of study has not been done in Texas before, but jurisdictions around the country have undertaken similar research because they have recognized the value of understanding data and its power to help improve their justice systems. The Commission is working with PPRI to conduct the weighted caseload study.

Attorneys have been recruited to document and categorize their time spent on cases for twelve weeks using simple timekeeping software developed by JusticeWorks. At the conclusion of the data collection phase, a panel of experts will review the time data together with survey data and make recommendations regarding the time demands of various types of cases.

While this study will not be the last word on indigent defense needs in Texas, it will be an evidence informed starting point to demonstrate what is necessary to provide appropriate representation in various types of cases.

The information learned through the study may serve as a management tool to guide decision making for public defenders and managed assigned counsel systems. For assigned counsel systems, the study will provide objective information to the courts about the resources different types of cases typically demand. This study will also provide policymakers at the state and local level with objective information upon which to base funding decisions.

To learn more about this research please visit the study website at http://texaswcl.tamu.edu.

WWW.TIDC.TEXAS.GOV

MARCH 2014

WWW.TCDLA.COM

Texas Criminal Defense Lawyers Educational Institute Make a Difference Support an Attorney The Texas Criminal Defense Lawyers Education Institute (TCDLEI) is committed to ensuring the fair administration of justice in Texas through the continuing legal education of criminal defense lawyers and their staff. Your generous tax-deductible contribution to the Texas Criminal Defense Lawyers Educational Institute can be applied in several ways to fund a variety of legal and educational services for our membership.

Deserving members without the wherewithal to attend our seminars can get financial aid to help in their continuing legal education.

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BERTHA MARTINEZ TRIAL COLLEGE Travel Scholarship in the amount of $___________ KELLY PACE MEMORIAL NEW LAWYER TRAVEL FUND in the amount of $___________

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TEXAS CRIMINAL DEFENSE LAWYERS ASSOCIATION 6808 HILL MEADOW DR., AUSTIN, TEXAS 78736