State v. R. McCauley ( 2021 )

07/20/2021
DA 19-0564
Case Number: DA 19-0564
IN THE SUPREME COURT OF THE STATE OF MONTANA
2021 MT 181N
STATE OF MONTANA,
Plaintiff and Appellee,
v.
RYAN WILLIAM MCCAULEY,
Defendant and Appellant.
APPEAL FROM: District Court of the Eleventh Judicial District,
In and For the County of Flathead, Cause No. DC-18-095(A)
Honorable Amy Eddy, Presiding Judge
COUNSEL OF RECORD:
For Appellant:
Shenandoah R. Roath, Shenandoah R. Roath, PLLC, Helena, Montana
Alisha Backus, Office of the State Public Defender, Kalispell, Montana
For Appellee:
Austin Knudsen, Montana Attorney General, C. Mark Fowler, Assistant
Attorney General, Helena, Montana
Travis R. Ahner, Flathead County Attorney, Andrew Clegg, Deputy County
Attorney, Kalispell, Montana
Submitted on Briefs: April 21, 2021
Decided: July 20, 2021
Filed:
Vir-641.-if
__________________________________________
Clerk
Chief Justice Mike McGrath delivered the Opinion of the Court.
¶1 Pursuant to Section I, Paragraph 3(c), Montana Supreme Court Internal Operating
Rules, this case is decided by memorandum opinion and shall not be cited and does not
serve as precedent. Its case title, cause number, and disposition shall be included in this
Court’s quarterly list of noncitable cases published in the Pacific Reporter and Montana
Reports.
¶2 Ryan William McCauley appeals the December 4, 2018 denial of his motion to
dismiss multiple counts of assault on a peace officer. We affirm.
¶3 This case presents a classic example of why criminal justice solutions to mental
health conditions are often inappropriate. After calling a suicide hotline for assistance,
Ryan William McCauley (McCauley) ended up with two felony convictions and a lengthy
stay in the Flathead County Detention Center (FCDC) that he alleges was without access
to adequate mental health services.
¶4 On February 8, 2018, the Flathead County Sheriff’s Office was dispatched for a
welfare check on McCauley following a report from a suicide hotline operator.
Deputy Dustin Andersen (Andersen) first contacted McCauley by phone and McCauley
indicated that he “did not want to live anymore” and planned to take his life at midnight.
McCauley agreed to meet with Andersen on the condition that Anderson came alone and
stayed more than ten feet away. Andersen subsequently made contact with McCauley
outside of a Kalispell sandwich shop. McCauley told Andersen that he had a knife and,
when asked, showed where it was located. After some negotiation with Andersen,
2
McCauley agreed to accompany Andersen to a mental health facility so long as no one
touched him or took away his freedom to leave. When another officer arrived, McCauley
reacted: “that’s not going to work.” Negotiations apparently broke down at this point, with
McCauley declining to give up his knife in the presence of armed officers.
¶5 According to the District Court’s viewing of body camera footage,1 McCauley could
be seen requesting an officer to “please stay at that distance, sir,” before asking Andersen
for his “word as a United States Marine,” at which point several other officers moved in to
restrain McCauley. In the resulting scuffle, during which McCauley bit three officers—
reasoning aloud, “I’ve already got one felony,”—McCauley repeatedly asked to “talk to
the marine” with whom he would cooperate if he would get “these guys away from me.”
While being handcuffed, McCauley stated, “looks like I can’t trust the marines anymore”
and “this is why I want to kill myself.” Attempting to get McCauley to stand up, Andersen
offered: “I didn’t know they were going to do that” while Flathead County Sheriff
Chuck Curry displayed his bleeding hand to McCauley and stated “that just bought you a
felony, my friend.” The struggle continued as McCauley was restrained with leg straps
and loaded into a patrol vehicle. McCauley was not taken to a hospital or to see a mental
health professional but was taken directly to FCDC.
¶6 McCauley was charged with three counts of assault on a peace officer, a felony, in
violation of § 45-5-210, MCA. On February 9, 2018, a justice of the peace issued an Order
to Detain Prisoner on Probation/Parole Warrant stating that McCauley had been arrested
1
This footage is described in detail in the District Court’s Order but was not provided to this Court
as part of the record on appeal.
3
the previous day “under authority of a Warrant issued by an agent of the Department of
Corrections, Probation and Parole Bureau” and providing that, “[p]ending the filing of a
Petition to Revoke in the underlying felony matter the Defendant is remanded to the
custody of the Flathead County Sheriff and shall remain incarcerated until further order of
the Court or the posting of bail.”2 Another February 9, 2018 order set bail at $150,000 and
ordered that McCauley “shall reside at FCDC.” The record does not show that McCauley
moved to reduce bail or requested to be released on his own recognizance to seek treatment.
¶7 In an April 25, 2018 pre-trial Omnibus Order stipulated to by the parties,
Defense Counsel indicated that it intended to “introduce evidence to support the defense
that because of a mental disease or disorder the Defendant did not have a particular state
of mind that is an essential element of the offense charged.” Defense Counsel requested a
mental health evaluation from licensed psychologist Vincent River (River) to determine
whether McCauley could “appreciate the criminality of his conduct at the time it was
occurring or if it was a reaction due to his mental illness.” In a written report filed with the
court on June 19, 2018, River found evidence of ongoing mental illness, significant
difficulty with thinking rationally, coherently, and in a goal-directed manner, and that
McCauley’s fight or flight instinct is triggered in altercations with authority. River’s report
stated that “[t]his 28-year old single African American male presents with a complex
diagnostic picture” and that the evaluation results “show mixed validity.” The report
2
A subsequent presentence investigation indicated that McCauley was facing a pending
Revocation of Suspended/Deferred Sentence in Ravalli County for which a warrant was issued on
March 1, 2018.
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determined that McCauley likely suffers from a variety of mental disorders. However,
River concluded that McCauley most likely “acted with knowledge and purpose in resisting
arrest” and with the “capacity to recognize right from wrong,” but noted that McCauley’s
mental illness “substantially lower[ed] his ability to conform his behavior to the
requirements of the law, in this situation where the police officers were, by all appearances,
the aggressors.” River also noted:
In a jail environment, it appears Mr. McCauley’s functioning is somewhat
stabilized and improved. However, this is most likely an artifact of the
security he derives from being in an institution. He is not currently under
any form of psychiatric treatment. There does not appear to be a need for
commitment to the Montana State Hospital at the present time, because his
risk of suicidal behavior appears lessened in the jail setting. However, his
ongoing risk of suicidal impulse is considered high if he is returned to the
street without vocational and treatment supports.
¶8 River recommended sentencing McCauley to the custody of the Department of
Public Health and Human Services (DPHHS) for mental health services and treatment,
substance abuse treatment, psychiatric treatment, mental health counseling, and vocational
training. River noted that McCauley “appears to be in need of treatment to reduce his
distress from depression and anxiety symptoms and to lower his risk of suicidal behavior.”
¶9 McCauley entered into a plea agreement with the State, filed with the District Court
on June 25, 2018, in which he pled guilty, but mentally ill, to Counts I and II in exchange
for the State dismissing Count III and recommending a concurrent five-year commitment
for Counts I and II to the custody of the director of DPHHS to be placed, if recommended
after evaluation, in an appropriate correctional facility, mental health facility, residential
facility, or developmental disabilities facility for custody, care, and treatment.
5
¶10 At a June 25, 2018 change of plea hearing, McCauley indicated that he understood
that his plea agreement “would require [him] to go to the State Hospital to undergo a second
evaluation.” The District Court indicated uncertainty regarding whether McCauley’s plea
required that he be sent to the Montana State Hospital (MSH) for an evaluation prior to or
after sentencing. The parties discussed § 46-14-311, MCA, which calls for an evaluation
to determine whether a defendant’s culpability was reduced by a “mental disease or
disorder or developmental disability.” They also discussed § 46-14-312, MCA, which
requires the court to sentence individuals found to have such a disorder to DPHHS custody
but allows DPHHS to petition for sentence review if subsequent evaluation leads it to
believe that the defendant is no longer appropriate for DPHHS custody.
¶11 Defense Counsel warned that the last person her office sent to MSH for a mental
evaluation had waited eight months and suggested that the court could proceed to
sentencing sooner by relying on River’s report instead. After discussion with counsel, the
District Court concluded that, pursuant to § 46-14-311(2), MCA, a mental evaluation must
be conducted prior to going forward with sentencing. Moreover, upon realizing that River
was not a “person appointed by” DPHHS pursuant to § 46-14-311, MCA, the District Court
concluded that River’s report was insufficient and that an evaluation through MSH would
be conducted as part of a presentence investigation (PSI) prior to proceeding with
sentencing.
¶12 On June 28, 2018, the District Court ordered a mental health evaluation be
conducted through MSH to be incorporated into a PSI pursuant to § 46-14-311, MCA. The
court set sentencing for October 11, 2018. However, shortly before the scheduled
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sentencing date, the Montana Department of Corrections Probation and Parole Bureau
notified the District Court that the PSI was not complete, as it had not yet received the
mental health evaluation from MSH. McCauley had continued to reside at FCDC while
awaiting transfer to MSH, where the mental evaluation was to be conducted. At the
October 11, 2018 hearing, the District Court indicated that it was unable to proceed without
the PSI and Defense Counsel requested a hearing on a motion to dismiss, alleging a
violation of McCauley’s constitutional due process rights and right against cruel and
unusual punishment.
¶13 At a November 27, 2018 hearing on his motion to dismiss, McCauley testified that,
despite having asked to see mental health professionals on more than one occasion, he
received no treatment, counseling, or medication for his mental health needs while at
FCDC. He described being placed under suicide watch and that someone he described as
a “mental health tech” asking him questions that he thought could have been a screening
for his risk of self-harm. He recounted multiple stints in isolation, limited access to fresh
air or exercise, and spartan living conditions. McCauley testified that, after arrival at
FCDC, his suicidal ideations had become clearer, with a focus on how to “avoid people
interfering next time.” He described increased anxiety while in solitary confinement in a
twelve-by-eight-foot cell in “max.” He testified to having “no relief” at FCDC and dealing
with the stress of having to mask his mental vulnerabilities from other inmates to avoid
being singled out.
¶14 Jennifer Ball (Ball), a Licensed Clinical Social Worker for the Office of the Public
Defender testified to systemic nationwide shortfalls in providing mental health services to
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inmates and testified to the detrimental effects of solitary confinement on inmates with
health care needs. Ball also testified that recent mental health budget cuts had led to
increased wait times at MSH and testified that officials at FCDC “do the best they can with
what they’ve got” in terms of meeting inmates’ mental health needs, though she did not
specify what that entailed. Ball did testify that she believed that FCDC had a “tele-med”
option. Ball had not met with McCauley.3
¶15 In a December 4, 2018 order, the District Court denied McCauley’s motion to
dismiss. The court found the delay in obtaining a mental health evaluation to be
“inordinate” and “indefensible” and acknowledged “systemic shortfalls at addressing
mental health” for inmates at FCDC. However, the District Court determined that
McCauley had failed to support his due process claim with a showing of substantial or
demonstrable prejudice caused by the delay and found no evidence of “deliberate
indifference” on the part of FCDC toward McCauley’s healthcare needs that would violate
his right against cruel and unusual punishment. Furthermore, the District Court again
concluded that River’s report was not a “‘mental evaluation by a person appointed by the
director of the department of public health and human services’” and therefore could not
be substituted for an MSH evaluation to be included in a PSI pursuant to
§ 46-14-311, MCA.4
3
Neither party presented significant additional evidence as to the mental condition of McCauley
or the services available at FCDC.
4
Though not mentioned in the District Court Order, the logjam had apparently been broken by the
time the District Court issued its Order, as McCauley was finally taken to MSH for the requested
evaluation the day after the hearing on the motion to dismiss. The evaluation, filed with the court
8
¶16 On August 1, 2019, the court sentenced McCauley to two concurrent five-year
commitments to the Department of Corrections, each with five years suspended.
McCauley was credited with 533 days served. McCauley appeals the December 4, 2018
Order denying his motion to dismiss and requests a remedy of dismissal or vacatur of his
sentence.
¶17 A district court’s denial of a motion to dismiss is reviewed de novo. State v. G’Stohl,
2010 MT 7, ¶ 7, 355 Mont. 43, 223 P.3d 926. We review the district court’s interpretation
and application of the law de novo for correctness. State v. Betterman, 2015 MT 39, ¶ 11,
378 Mont. 182, 342 P.3d 971. A district court’s underlying findings of fact are reviewed
for clear error, where a finding of fact is not supported by substantial evidence, the district
court misapprehended the effect of the evidence, or if a review of the record leaves this
Court with a definite and firm conviction that a mistake has been made. Betterman, ¶ 11.
District court decisions that reach the right result, even by relying on the wrong reason,
will be affirmed. Betterman, ¶ 11.
¶18 Pursuant to § 46-14-311(1), MCA, a defendant may claim before the sentencing
court that “at the time of the commission of the offense of which convicted the defendant
was suffering from a mental disease or disorder or developmental disability that rendered
the defendant unable to appreciate the criminality of the defendant’s behavior or to conform
the defendant’s behavior to the requirements of law.” In assessing this claim, “the
as part of McCauley’s PSI on January 18, 2019, concluded that McCauley’s diagnoses did not
meet the criteria for a mental disease or disorder under § 46-14-101(2)(a), MCA, and that, in the
opinion of the evaluators, the court should sentence McCauley to the Department of Corrections,
not DPHHS.
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sentencing court shall consider any relevant evidence presented at the trial and may also
consider the results of the presentence investigation,” which, if requested, “must include a
mental evaluation by a person appointed by the director of the department of public health
and human services or the director’s designee,” providing an opinion on the issue.
Section 46-14-311, MCA.
¶19 Essentially, the sentencing court here requested a PSI in addressing McCauley’s
claim of a mental defect or disorder affecting his ability to appreciate the criminality of his
actions or conform his conduct to the law. When the mental evaluation that was required
to be included with such a PSI pursuant to § 46-14-311, MCA, failed to be completed by
the scheduled sentencing date, the court postponed sentencing until the PSI was complete.
As a result, McCauley continued to await sentencing at FCDC, apparently without
substantial mental health services, for over nine months until the hearing on his motion to
dismiss. McCauley asserts that, as alternatives to subjecting McCauley to such a delay,
the District Court could have (a) proceeded to sentence McCauley without a PSI, relying
instead on the information contained in River’s report, or (b) directed DPHHS to appoint
another community-based mental health professional to conduct the evaluation in a more
timely fashion.
¶20 McCauley first argues that the District Court’s decision not to pursue either of the
alternatives proposed above was due to its misreading of § 46-14-311, MCA. In its Order
denying McCauley’s motion to dismiss, the District Court stated that, under
§ 46-14-311, MCA, “the sentencing court shall ‘consider any relevant evidence presented
at the trial and shall also consider the results of the presentence investigation.’”
10
(Emphasis added.) Section 46-14-311(1), MCA, actually provides that “the sentencing
court shall consider any relevant evidence presented at the trial and may also consider the
results of the presentence investigation . . . .” (Emphasis added.) The District Court thereby
misquoted § 46-14-311(1), MCA, by replacing a “may” with a “shall.”
¶21 It appears possible that the District Court was operating under the belief that it had
less discretion to forego a PSI under § 46-14-311(1), MCA, than it actually did. While
nothing in § 46-14-311(1), MCA, appears to require a PSI, neither does it forbid one, and
we need not reverse a District Court decision that arrives at an acceptable result even by
way of the wrong reason. Betterman, ¶ 11. McCauley alleges that his lengthy
pre-sentencing detention without adequate mental health services violated statutory and
constitutional provisions. Thus, the relevant question is whether the resulting detention
violated McCauley’s rights, not why the District Court did not choose an alternative route
to avert it.5
¶22 McCauley also argues that the wide range in wait times for defendants awaiting
mental evaluations prior to sentencing violates § 46-18-101(3), MCA, which provides that
“the state of Montana adopts the following principles: (a) Sentencing and punishment must
be certain, timely, consistent, and understandable.” According to McCauley, wait times
for presentence evaluations at MSH in recent years have ranged from 15 days to 282 days.
McCauley essentially contends that sentencing judges must forego a PSI for a defendant
5
Notably, the District Court’s inaccurate quotation of the statute occurred in the context of
addressing whether River’s report could qualify as an evaluation to be used in a PSI, not whether
a PSI could be foregone altogether.
11
making a claim for reduced mental culpability under § 46-14-311, MCA, lest punishment
be untimely or inconsistent, in violation of § 46-18-101(3), MCA.
¶23 We agree that the extensive wait times to receive an evaluation from MSH are
troubling. However, countervailing statutory provisions support a sentencing judge’s
decision not to forego a PSI altogether. Section 46-18-101, MCA, provides that it is among
the policies and principles of the State of Montana to “punish each offender commensurate
with the nature and degree of harm caused by the offense and to hold an offender
accountable,” to impose sentences “commensurate with the punishment imposed on other
persons committing the same offenses,” and to exercise judicial discretion to “consider
aggravating and mitigating circumstances.” Furthermore, a judge must “clearly state for
the record the reasons for imposing the sentence.” Section 46-18-102(3)(b), MCA.
¶24 These provisions necessitate that a judge seek to be fully informed when fashioning
a proper sentence, no less so for a defendant who may have reduced culpability due to
mental health reasons. A completed PSI (with the accompanying mental evaluation) is a
method by which a sentencing judge may seek such information, particularly where, as
here, there was no trial from which a judge might otherwise gather relevant information on
the matter. While the potential for substantial delay in receiving a PSI that includes a
department-approved mental evaluation is disconcerting, we cannot say that it has become
so egregious that a District Court commits a per se violation of § 46-18-101(3), MCA, by
requesting the guidance of such an evaluation before pronouncing a sentence.
¶25 Finally, McCauley argues that the delay in sentencing and accompanying lack of
mental health treatment violated his constitutional right to due process. McCauley also
12
asserts that the District Court applied the wrong standard and failed to analyze his argument
that the government exhibited “deliberate indifference” toward McCauley’s need for
mental health services.
¶26 As an initial matter, we reject the State’s argument that McCauley “acquiesced” to
the delay when he entered into his plea bargain and expressed consent to being evaluated
by DPHHS. McCauley’s exercise of his right under § 46-14-311, MCA, to have the
sentencing court consider his claim that he was “unable to appreciate the criminality of
[his] behavior or to conform [his] behavior to the requirements of the law” is not
conditioned on a waiver of his constitutional rights.
¶27 This Court held in Betterman, ¶ 32, that a defendant’s due process rights are violated
by a post-conviction, pre-sentencing delay that is both purposeful and oppressive.
However, the Betterman Court determined that a constitutional violation could still be
found even if the cause for the delay was less than purposeful or that the prejudice resulting
from the delay was less than oppressive. Betterman, ¶ 32.
¶28 Here, McCauley presented no evidence that the delay was purposeful, either on the
part of MSH or the District Court. Rather, McCauley argues that the delay resulted from
inadequate bedspace at MSH. The District Court heard evidence that systemic funding
shortfalls caused institutional delays for those seeking a mental health evaluation.
¶29 With regard to prejudice, the District Court heard testimony from Ball regarding the
generally harmful effects of conditions of confinement in underequipped jails such as
FCDC on individuals with mental health needs. However, she had no personal knowledge
regarding McCauley and his specific experience. McCauley testified to a sharpening of
13
his suicidal ideations after his arrival at FCDC, and a worsening of his anxiety during his
stints in solitary confinement, a feeling of having “no relief” at FCDC, and the stress of
disguising his mental vulnerabilities from other inmates.
¶30 However, the report prepared by River, who was retained by defense counsel, found
that McCauley had “somewhat stabilized and improved” in the jail setting and that his risk
of “suicidal behavior appears lessened.” McCauley challenges the validity of this report
in determining whether McCauley had suffered prejudice while at FCDC, pointing out that
the evaluation was conducted on March 9, 2018, at which point McCauley had completed
only one of the approximately nine months he would ultimately spend at FCDC prior to
the hearing on his motion to dismiss.
¶31 Regardless, this report did nothing to sound the alarm bells regarding McCauley’s
mental health status while at FCDC. Similarly, McCauley’s testimony that someone at
FCDC had screened him for risk of self-harm before he was taken off suicide watch
confirms River’s conclusion that McCauley had stabilized. Notwithstanding McCauley’s
testimony of stints of suicidal ideation, anxiety, and stress while at FCDC, the
District Court credited River’s report in determining that, regardless of the effects of such
conditions of confinement upon those with mental health needs generally, McCauley
himself suffered neither “substantial nor demonstrable” prejudice due to the length of his
pre-sentencing delay. We cannot say that the District Court erred in reaching this
conclusion.
¶32 McCauley asserts that the District Court improperly considered McCauley’s failure
to seek release on his own recognizance to pursue health care in the community as a factor
14
weighing against a finding of substantial prejudice. McCauley argues that he was being
held by the Department of Corrections for an unresolved revocation proceeding in another
county and could not have been released into the community regardless. Again, we cannot
say that the District Court’s consideration of this factor was error.
¶33 McCauley contends that the Betterman standard is inappropriate for addressing
allegations of inadequate treatment. McCauley argues that a more suitable legal standard
for examining the conditions of McCauley’s confinement at FCDC can be found in
Eighth Amendment jurisprudence, under which prison officials may not act with
“deliberate indifference to serious medical needs of prisoners” or in knowing disregard of
an “excessive risk to inmate health or safety.” Estelle v. Gamble, 429 U.S. 97, 104-05,
97 S. Ct. 285, 291 (1976) (emphasis added); Farmer v. Brennan, 511 U.S. 825, 837,
114 S. Ct. 1970, 1979 (1994).
¶34 The “deliberate indifference” standard encompasses a culpable level of subjective
intent on the part of an official. See Farmer, 511 U.S. at 837-39, 114 S. Ct. at 1979-80(requiring knowing disregard of an “excessive risk to inmate health or safety” to find a
prison official liable for inhumane conditions under the Eighth Amendment). As the
District Court noted, officials at FCDC do “the best they can with what they’ve got.”
FCDC did respond to McCauley’s suicidality by placing him on suicide watch and,
apparently, obtaining a mental health risk screening prior to removing him from the watch
list. There is nothing in this record that leads us to conclude that FCDC, the District Court,
or other officials were deliberately indifferent to McCauley’s situation.
15
¶35 The District Court did not commit reversible error by misquoting
§ 46-14-311(1), MCA, and did not violate the purpose and policy provisions of
§ 46-18-101(3), MCA, by denying McCauley’s motion to dismiss. We do not find
McCauley’s delay in sentencing and conditions of confinement unconstitutional here, as
he has not shown deliberate indifference on the part of the relevant government officials
nor that his presentencing delay was purposeful or resulted in substantial and demonstrable
prejudice.
¶36 We have determined to decide this case pursuant to Section I, Paragraph 3(c) of our
Internal Operating Rules, which provides for memorandum opinions. In the opinion of the
Court, the case presents a question controlled by settled law or by the clear application of
applicable standards of review.
¶37 Affirmed.
/S/ MIKE McGRATH
We Concur:
/S/ JAMES JEREMIAH SHEA
/S/ BETH BAKER
/S/ LAURIE McKINNON
/S/ JIM RICE
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