Filed: Patrick Fisher
Filed: Patrick Fisher
PUBLISH
DEC 27 2002
PATRICK FISHER
TENTH CIRCUIT
Clerk
No. 02-4021
patient at the Valley Mental Health Hospital in Salt Lake City, Utah. On March
28, 2001, Mr. Gilgert telephoned a counselor at the hospital and left a voice
message, in which Mr. Gilgert threatened to kill President [George W.] Bush, as
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well as Mr. Gilgerts case manager and the facility manager, if action was not
taken on his behalf. Rec vol. IV, defs ex. A, at 1 (Memorandum of Record re
Jay B. Gilgert threat against President Bush, case workers, dated March 28,
2001). Subsequently, a federal grand jury indicted Mr. Gilgert for making, [o]n
or about March 28, 2001, a threat to inflict bodily harm against the President of
the United States [] in violation of 18 U.S.C. 871(a). Rec. vol. 1, doc. 16, at
1-2 (Indictment, filed Sept. 12, 2001). Mr. Gilgert waived his right to trial and
entered a plea of not guilty only by reason of insanity. The district court accepted
Mr. Gilgerts plea, finding him not guilty only by reason of insanity. After a
hearing, the district court ordered Mr. Gilgert committed to a mental hospital for
a psychological examination and report.
B.
held an evidentiary hearing to determine whether Mr. Gilgerts release into the
community would create a substantial risk of bodily injury to another person
under 18 U.S.C. 4243(e). Mr. Gilgert was present and medicated at the
evidentiary hearing, and addressed the district court on several occasions. In one
exchange at the hearing, Mr. Gilgert interrupted the district court, inexplicably
mentioned the actress Bridget Fonda, and said to the district court, [y]ou cant
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investigate and frame me like this. Rec. vol. II, doc. 1, at 10 (Transcript of Hrg
dated Jan. 14, 2002).
At the hearing, the parties disputed both which evidentiary standard applied
and whether Mr. Gilgert satisfied whichever standard applied. The parties
stipulated as to the admission of four documents: (1) a Secret Service
Memorandum of Record; (2) a Secret Service Report; (3) a Forensic Evaluation
Report; and (4) a Risk Assessment Report. Mr. Gilgert produced no other
evidence or witnesses at the hearing. Because the district court relied on these
four documents in making its finding, we summarize their contents in some detail.
1.
past; (3) Valley Mental Health personnel have received unconfirmed reports that
he was or is involved in the production of pipe bombs; (4) Mr. Gilgert has an
extensive criminal history with multiple arrests; and (5) that he has been
investigated numerous times (12) by the U.S. Secret Service. Id.
2.
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incriminate himself and then tore up the piece of paper containing the statement.
Id.
Despite the evidence of Mr. Gilgerts manic conduct and making of threats,
the report concluded, apparently because [t]reatment workers state that [Mr.]
Gilgert is compliant when following his medical prescriptions, that he does not
pose a threat to any USSS [United States Secret Service] protectee at this time.
Id. at 5.
3.
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By order of the district court, a panel at the United States Medical Center
for federal prisoners in Springfield, Missouri consisting of the chief of psychiatry,
a supervisory social worker, and a staff psychologist, convened to determine
whether the release of Mr. Gilgert would present a substantial risk of bodily
injury to others or serious damage to the property of others. Rec. vol. IV, defs
ex. D, at 1 (Risk Assessment, dated Dec. 14, 2001). The panels risk assessment
report noted that Mr. Gilgerts hospital records indicate that he has received a
diagnosis of chronic paranoid schizophrenia, has a history of explosive
threatening statements toward individuals [at Valley Mental Health], and that
Mr. Gilgerts threat[s] to bomb buildings in Salt Lake City had led to his
hospitalization at the Utah State Hospital for two years in 1997. Id. at 2. 2 The
report stated that hospital records make reference to an [unsubstantiated]
allegation that pipe bomb paraphernalia was found in Mr. Gilgerts apartment by
one of their staff members following his 1997 hospitalization. Id. The report
further observed that Mr. Gilgert is inconsistent in taking his medication, id.,
has threatened two of [the hospitals] staff members along with President Bush,
id., has a history of cocaine abuse, id., and has an extensive criminal history
dating back over twenty-five years. Id. at 3. The report memorialized the panel
For reasons not clear from the appellate record, the risk assessment panel
was unable to obtain records regarding the Utah hospitalization. See Rec. vol. IV,
defs ex. D, at 1.
2
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Id.
The district court, which made no further findings of fact, ordered Mr. Gilgert
committed to the custody of the Attorney General pursuant to 18 U.S.C.
4243(e).
This appeal followed.
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II. DISCUSSION
A.
Standard of Review
On appeal, the parties dispute the threshold issue of which standard of
review applies to the district courts decision applying 4243. Section 4243
provides in part:
(d) . . . a person found not guilty only by reason of insanity of an
offense involving bodily injury to, or serious damage to the property
of, another person, or involving a substantial risk of such injury or
damage, has the burden of proving by clear and convincing evidence
that his release would not create a substantial risk of bodily injury to
another person or serious damage of property of another due to a
present mental disease or defect. With respect to any other offense,
the person has the burden of such proof by a preponderance of the
evidence.
(e) If, after the hearing, the court fails to find . . . that the persons
release would not create a substantial risk of bodily injury to another
person or serious damage of property of another due to a present
mental disease or defect, the court shall commit the person to the
custody of the Attorney General.
18 U.S.C. 4243. This circuit has never decided what standard of review
applies to a finding of dangerousness. 3 Mr. Gilgert argues that a district courts
For ease of reference, we use the term finding of dangerousness to refer
to the district courts finding that Mr. Gilgert failed to show, under the statutes
somewhat awkwardly phrased double-negative standard, that the persons release
would not create a substantial risk of bodily injury to another person or serious
(continued...)
3
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(...continued)
damage of property of another due to a present mental disease or defect. 18
U.S.C. 4243.
3
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proves the most accurate method of ascertaining the truth) (quoting United
States v. Oregon Medical Society, 343 U.S. 326, 339 (1952).
Thus, we join our sister circuits and hold that clear error review applies to a
district courts finding of dangerousness under 4243. We conclude, following
our sister circuits, that a finding of dangerousness is a finding of fact.
Jackson, 19 F.3d at 1006. However, even assuming that, as Mr. Gilgert asserts, a
finding of dangerousness is a mixed application of law to fact, we apply the
clearly erroneous standard ... . [b]ecause the district court is better positioned
than we are to decide this primarily factual issue. Frymire v. Ampex Corp., 61
F.3d 757, 765 (10th Cir. 1995) (quoting Salve Regina College v. Russell, 499
U.S. 225, 233 (1991)).
In so holding, we decline Mr. Gilgerts invitation to analogize from our
standard of review for a motion to suppress, where we review findings of facts
for clear error, but we review the application of the legal standard of
reasonableness de novo. See United States v. Olguin-Rivera, 168 F.3d 1203,
1204 (10th Cir. 1999). Mr. Gilgert argues that [b]ecause the courts evaluation
of the facts in this proceeding results in a significant deprivation of
constitutionally guaranteed liberty, this courts review of the adequacy of the
evidence to support the district courts dangerousness evaluation likewise cannot
be separated from its determination of the legal scope of the dangerousness
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standard. Aplts Reply Br. at 2-3. We assume that had Mr. Gilgert challenged
the commitment procedures employed by the government on constitutional
grounds, our review of the district courts conclusion of law regarding the
constitutional challenge would be de novo, although we note that the three
circuits that have examined the constitutionality of 4243(d) have [each] found
no due process violations. Wattleton, 296 F.3d at 1198. However, Mr. Gilgert
did not raise any such challenge below, nor does he on appeal. Instead, his
appeal challenges the district courts finding of dangerousness, an inquiry that,
as discussed above, is a factual one best performed by the district court.
Further, we note that even if we did adopt Mr. Gilgerts alternative
suggestion that we analogize from our standard of review for findings of
competence to stand trial, that rule in our circuit, contrary to Mr. Gilgerts
assertions, mandates clear error review. See United States v. Pompey, 264 F.3d
1176, 1178 (10th Cir. 2001) (Competency to stand trial is a factual
determination that can be set aside only if it is clearly erroneous.) (quoting
United States v. Boigegrain, 155 F.3d 1181, 1189 (10th Cir. 1998) (emphasis
added)). Accord Maggio v. Fulford, 462 U.S. at 117 (describing a finding of
competence as a factual conclusion[]); Lafferty v. Cook, 949 F.2d 1546, 1549
(10th Cir. 1991) (competency is a factual issue).
B.
Evidentiary Standard
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Thus, under the terms of the statute, the applicable evidentiary burden that Mr.
Gilgert must satisfy turns, not on any fact particular to Mr. Gilgert, but, rather,
whether, as a general matter, the crime of making a threat against the president in
violation of 871 involves bodily injury to, or serious damage to the property
of, another person, or . . . a substantial risk of such injury or damage. Id.
Certain crimes rather clearly do or do not satisfy the injury / damage /
substantial risk standard. Compare Jackson, 19 F.3d at 1007 (in 4243
hearing, defendant found not guilty only by reason of insanity on charge of
armed robbery bore burden to prove by clear and convincing evidence that he
met the 4243(d) standard) (internal quotation marks omitted) with Bilyk, 949
F.2d at 261 (requiring a defendant charged with being a felon in possession of a
firearm, based on police officers discovering the gun in a drawer in the
defendants house, to satisfy the standard by a preponderance of the evidence).
In contrast, threats do not map easily onto the taxonomy of crimes created
by 4243. A threat is a communicated intent to inflict physical or other harm
on any person or property. Blacks Law Dictionary 1480 (6th ed. 1990) (quoted
in United States v. Gottlieb, 140 F.3d 865, 872 (10th Cir. 1998)). It is therefore
somewhat difficult to determine whether threats as a class fit the statutory test of
4243 because threats do not seem to fall squarely within either the violent or
non-violent category of crimes. Jeremy D. Feinstein, Are Threats Always
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Violent Crimes?, 94 Mich. L. Rev. 1067, 1068-69 (1996). As the district court
stated, as to whether defendants burden is clear and convincing or by a
preponderance[,] the law is somewhat hazy on this point. Rec. vol. 1, doc. 33,
at 1 (Order, filed Jan. 31, 2002). Indeed, our research yielded only one case
where a court addressed the evidentiary standard applicable to a 4243 hearing
for a defendant charged with making a threat against the President. See United
States v. Craig, No. 90-55450, 1992 WL 129791 (9th Cir. June 12, 1992). There,
in an unpublished decision affirming the denial of a habeas petition filed by a
defendant committed under 4243 to the Attorney Generals custody, the Ninth
Circuit noted that the district court had applied the clear and convincing burden
of proof standard to the 4243(d) determination at issue. Without offering any
analysis, the Ninth Circuit implied that the clear and convincing standard
applied, stating, we agree with the district court that Craig has failed to meet
this burden. Id. at *1.
Although the parties briefs in this case similarly offer no analysis on the
applicable evidentiary standard beyond their conclusory assertions that the
burden favorable to their position applies, we will try to clear the haze. As one
commentator observed, the federal courts of appeals have split regarding
whether threats ever may be considered non-violent offenses. Feinstein, 94
Mich. L. Rev. at 1068 n.9 (collecting cases). Fortunately, though, the uniqueness
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of the crime of making a threat against the president allows us to formulate a rule
without entering into the thicket of the debate on the classification of threats in
general. That crime is qualitatively different from a threat against a private
citizen or other public official because the specter of [a] [p]residents death in
office has worldwide repercussions and affects the security and future of the
entire nation. United States v. Twine, 853 F.2d 676, 681 (9th Cir. 1988)
(quotation omitted).
Indeed, the statute now codified at 18 U.S.C. 871 was passed in February
1917, as our nation prepared to enter World War I. Months later, a federal
district court, in upholding the statute against a constitutional challenge,
explained the evil that Congress sought to remedy by enacting the statute. See
United States v. Stickrath, 242 F. 151, 153 (S.D. Ohio 1917) (cited with approval
in Pierce v. United States, 365 F.2d 292, 296 (10th Cir. 1966). The court
explained that a threat against the President incites the hostile and evil-minded
to take the Presidents life, is an affront to all loyal and right-thinking persons,
inflames their minds, and provokes resentment, disorder and violence.
Stickrath, 242 F. at 153.
We might state the effect somewhat differently today. Regardless, we
think it remains true that beyond any risk a threat against the president may pose
to the president directly, such a threat creates a serious risk to those officers,
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people, and property in the vicinity of the maker of the threat, as well as to the
maker of the threat himself, whether competent or not. The risk stems from the
potentially extreme reaction by law enforcement officers or ordinary citizens that
a threat against our nations commander-in-chief and chief executive officer
threatens to engender.
Accordingly, the crime of making a threat against the President of the
United States in violation of 18 U.S.C. 871 necessarily involves a substantial
risk of bodily injury to another person or damage to another persons property.
We therefore hold that a defendant who pleads not guilty by reason of insanity to
making a threat against the president in violation of 871 is required in a
4243(e) hearing to prove by clear and convincing evidence that his release would
not create a substantial risk of bodily injury to another person, or of serious
damage to the property of another person, due to mental disease or defect
afflicting the defendant at that time.
C.
review and evidentiary burden, we turn to the merits of the district courts
application of 4243 to Mr. Gilgerts case. Applying the proper standard of
review and evidentiary burden, the question on the merits is whether the district
court clearly erred in finding that Mr. Gilgert failed to prove by clear and
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convincing evidence that his release would not create a substantial risk of
bodily injury to another person under 4243(e).
A finding is clearly erroneous when, although there is evidence to support
it, the reviewing court, on [review of] the entire record, is left with the definite
and firm conviction that a mistake has been committed. United States v. De la
Cruz-Tapia, 162 F.3d 1275, 1277 (10th Cir. 1998) (quoting United States v.
United States Gypsum Co., 333 U.S. 364, 395 (1948). On clear error review, our
role is not to re-weigh the evidence; rather, our review of the district courts
finding is significantly deferential. Concrete Pipe & Prod. of Cal., Inc. v.
Construction Laborers Pension Trust for S. Cal., 508 U.S 602, 623 (1993).
Mr. Gilgert argues that the district court erred because the evidence shows
almost uniformly that he is not violent and his release would not present a
danger to people or property. Aplts Br. at 12. In response to the district
courts reliance on the expert reports in concluding that Mr. Gilgert had failed to
satisfy the statutory standard, Mr. Gilgert contends that [t]he common theme
throughout the reports is that making threats is the way Mr. Gilgert attempts to
get help when his medication is not properly adjusted, rather than an actual
indication of an intent to take action. Id. at 13.
Mr. Gilgerts arguments fail to recognize both that the statute places the
evidentiary burden on him and that on clear error review, our role is not to re-20-
weigh the evidence. Far from concluding that the district court erred, we
conclude that the district courts finding was amply supported. In his forensic
evaluation report, Dr. Ihle concluded that Mr. Gilgert engages in behavior that
may be threatening to others, Rec vol. IV, defs ex. C, at 13, that Mr. Gilgerts
use of alcohol and illicit substances may increase his degree of danger to others
or property, id. at 14, and that Mr. Gilgerts combination of persecutory and
grandiose delusions with anger may predispose [him] to violence. Id. at 13.
After reviewing Mr. Gilgerts medical records, interviewing him, and observing
him on his ward, the three clinical professionals on the risk assessment panel
charged specifically with assessing the risks associated with Mr. Gilgerts
possible release concluded that he remains acutely psychotic and that his
release would [create] a substantial risk of bodily injury to another person or
serious damage to the property of another due to his present mental disease or
defect. Rec. vol. IV, defs ex. D, at 5. Moreover, the risk assessment panel
found that Mr. Gilgert is in need of continued inpatient mental health care at the
present time. Id.
Mr. Gilgerts counsel placed no evidence to the contrary into evidence
and, as his counsel acknowledged at oral argument, did not attempt to impeach
through cross-examination the authors of the four reports placed in evidence,
despite the opportunity to do so. The district court, based on its own observation
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of Mr. Gilgert, and on its review of the stipulated reports, reached the same
conclusion as the risk assessment panel.
We emphasize that in no respect do we wish to stigmatize the many
members of our society who grapple with mental health issues. Such stigma was
emblematic of centuries of discrimination against the mentally ill that our nation
has, for the most part, fortunately outgrown. A finding of insanity, or even one
of acutely delusional behavior, does not, without more, establish that a person is
dangerous to the community.
Nonetheless, the record in this case compels us to hold that the district
court did not clearly err in finding that Mr. Gilgert failed to meet his burden to
demonstrate by clear and convincing evidence that his release would not create
a substantial risk of bodily injury to another person under 18 U.S.C. 4243(e).
See Steil, 916 F.2d at 488 (affirming finding of dangerousness where medical
health professionals have found [the defendant] mentally ill and dangerous, and
there is no medical opinion to the contrary in the record before us) (emphasis
added). Not only are we not left with a firm and definite conviction that the
district court erred, De la Cruz-Tapia, 162 F.3d at 1277, but we do not see how
the district court could have ruled otherwise, given the lack of any professional
medical opinion in the record that Mr. Gilgerts release would not present a
danger to the community.
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III. CONCLUSION
For the foregoing reasons, we AFFIRM the district courts finding that Mr.
Gilgert failed to prove that his release into the community would not create a
substantial risk of bodily injury to another person under 18 U.S.C. 4243 and
AFFIRM the district courts consequent commitment of Mr. Gilgert to the
custody of the Attorney General of the United States.
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