United States v. Aaron Gomes

Citations: 387 F.3d 157; 65 Fed. R. Serv. 755; 2004 U.S. App. LEXIS 22133; 2004 WL 2377601Docket: 04-1004-

Court: Court of Appeals for the Second Circuit; October 25, 2004; Federal Appellate Court

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Aaron Gomes was charged with possession of a firearm by a convicted felon, facing a mandatory minimum sentence due to prior convictions. After being declared mentally incompetent to stand trial, he underwent evaluations revealing he suffered from a psychotic disorder and lacked a rational understanding of the proceedings. Despite doctors prescribing anti-psychotic medication to restore his competency, Gomes refused treatment. The U.S. District Court permitted the Bureau of Prisons to medicate him involuntarily, following a full hearing. This decision was affirmed by the Second Circuit in a prior appeal (Gomes I). Subsequently, the Supreme Court's ruling in Sell v. United States established the conditions under which involuntary medication is permissible to achieve trial competency. The Supreme Court granted Gomes's petition for certiorari, vacating the earlier ruling and remanding the case for reconsideration in light of the Sell decision. The Second Circuit concluded that the district court acted within its authority and did not err in its decision.

In July 2003, the district court mandated Gomes's transfer back to USMC-Springfield for a 30-day re-evaluation of his trial competency. Expert testimony from psychologist Dr. Mrad and psychiatrist Dr. Sarrazin indicated that Gomes suffers from a delusional disorder but has a 70% chance of regaining competency with anti-psychotic medication. Following the precedent set by Sell v. United States, the court authorized the Bureau of Prisons (BOP) to medicate Gomes involuntarily. Gomes appealed, and a stay was granted while he remained in custody.

The Sell decision allows for involuntary medication if: (i) significant governmental interests are at stake; (ii) treatment significantly advances those interests; (iii) no less intrusive alternatives exist; and (iv) treatment is medically appropriate. Although no standard of proof was established in Sell, Gomes I interpreted Riggins v. Nevada to suggest that findings should be supported by clear and convincing evidence. The importance of the government's interest is a legal question reviewed de novo, while the factual findings related to the other Sell factors are reviewed for clear error.

The Sell test focuses on whether the forced treatment is justified solely to render a defendant competent for trial or for other reasons, such as dangerousness or health risks. Testimony indicated that Gomes does not pose a danger to himself or others, validating the application of the Sell test. The government's interest in prosecuting Gomes, accused of a serious felony (possession of a firearm as a felon), is deemed strong, especially given his potential sentence of at least fifteen years due to prior violent felonies. This reasoning from Gomes I remains intact despite the case's remand.

Gomes faces charges solely for illegal possession of a handgun, which is exacerbated by his three prior serious drug convictions. Under 18 U.S.C. § 924(e), armed felons with multiple serious offenses face enhanced sentences, as Congress perceives possession by such individuals as a significant threat. The discussion includes whether civil commitment could impede the Government's ability to prosecute Gomes. Both parties concur that prosecution could continue even if Gomes were civilly committed or regained competence. However, the Government raises concerns about the challenges of trying Gomes if he regains competence after a long commitment period, during which evidence may be lost.

Gomes argues that testimony from a prior suppression hearing, where key witnesses testified, would be admissible if those witnesses become unavailable. However, it remains uncertain if this testimony meets the admissibility requirements under Rule 804(b)(1), as the primary issue in the suppression hearing was related to the legality of the vehicle stop, not directly related to Gomes's guilt.

There is insufficient evidence to suggest that Gomes would qualify for civil commitment, as expert testimony indicates he poses no danger in a prison setting and his diagnosed disorders are primarily related to competency rather than a risk of harm. Therefore, the potential for civil commitment does not undermine the Government's interest in prosecuting him.

The district court's decision to involuntarily medicate Gomes to restore competency is evaluated, focusing on whether the treatment is likely to be effective and whether side effects will hinder his ability to assist in his defense. The district court based its findings on the testimonies of Drs. Mrad and Sarrazin, who indicated a substantial probability that anti-psychotic medication could restore Gomes's competency, and noted the Bureau of Prisons' 70 percent success rate with such treatments. The court's conclusions on these points are deemed not clearly erroneous.

The district court concluded that the potential side effects of atypical anti-psychotic medication are unlikely to hinder Gomes’s ability to assist in his defense. Dr. Sarrazin testified that these medications would target Gomes's delusions, enhancing his communication, and that initial side effects such as sedation and gastrointestinal issues would likely resolve within a few days. Gomes argues that forced medication would impair his ability to present a defense based on a conspiracy theory, fearing it would undermine his credibility. However, the court emphasized that Gomes's current incompetence due to mental illness precludes any trial until his condition is treated, regardless of his chosen defense strategy.

The district court evaluated whether less intrusive treatments could achieve similar results but found that alternatives like verbal therapy would be ineffective due to Gomes's distorted reality. Although Gomes claimed no prior treatment had been administered during his custody, he did not provide evidence supporting the efficacy of alternative therapies. Additionally, Gomes has consistently refused any chemical treatment, undermining the possibility of a voluntary compliance court order. 

The court also determined that the proposed medical treatment was appropriate for Gomes's condition. Dr. Sarrazin indicated that anti-psychotic treatment is necessary, and the side effects would only require monitoring to ensure compliance with the medication regimen. Gomes's concerns regarding post-transfer supervision were dismissed, as they did not demonstrate that the treatment would be harmful. Consequently, the district court's judgment was affirmed, confirming that the administration of medication is justified and medically appropriate.