Fetterusso v. State of N.Y., 670

Citation898 F.2d 322
Decision Date13 March 1990
Docket NumberD,No. 670,670
PartiesFrank C. FETTERUSSO, Otto Hofendiener, and Leonard Giardiana, Plaintiffs-Appellants, v. STATE OF NEW YORK, New York State Office of Mental Health, Defendants-Appellees. ocket 89-2332.
CourtUnited States Courts of Appeals. United States Court of Appeals (2nd Circuit)

Michael H. Sussman, Yonkers, N.Y., for plaintiffs-appellants.

Robert Schonfeld, Asst. Atty. Gen. for the State of N.Y., New York City (Robert Abrams, Atty. Gen. of the State of N.Y., New York City, Yolanda M. Pizarro, Charles Davis, Asst. Attys. Gen. for the State of N.Y., of counsel) for defendants-appellees.

William M. Brooks, Mental Disability Law Clinic, Touro College, Jacob D. Fuchsberg Law Clinic, Huntington, N.Y., Brian M. Dworkin, Law Student Intern, for amicus curiae, Project Release.

Before KAUFMAN, MESKILL, and NEWMAN, Circuit Judges.

IRVING R. KAUFMAN, Circuit Judge:

New York's Criminal Procedure Law provides for commitment after a verdict of those found "not responsible by reason of mental disease or defect," N.Y.Crim.Proc.Law Sec. 330.20 (McKinney 1983 and Supp.1990). The statute recognizes a category The facts of this case can be stated briefly. Frank C. Fetterusso, Otto Hofendiener and Leonard Giardiana were committed to the custody of the OMH Commissioner, pursuant to section 330.20(6), upon findings they were not guilty of charged crimes by reason of their mental illnesses and that they had dangerous mental disorders. The statute defines "dangerous mental disorder" as having a mental illness which renders a person a danger to himself or to others. Sec. 330.20(1)(c). Fetterusso is treated at Bronx Psychiatric Center, Hofendiener at Mid-Hudson Psychiatric Center and Giardiana at Kings Park Psychiatric Center.

of "quasi-criminal and quasi-civil" patients in the custody of the Commissioner of the New York State Office of Mental Health ("OMH") and under the mental health care of the State. People v. Ortega, 127 Misc.2d 717, 734, 487 N.Y.S.2d 939, 952 (1985), aff'd, 118 A.D.2d 523, 499 N.Y.S.2d 1018, aff'd, 69 N.Y.2d 763, 505 N.E.2d 613, 513 N.Y.S.2d 103 (1987). See also New York State Dep't of Mental Hygiene v. Broome County, 89 Misc.2d 354, 356, 391 N.Y.S.2d 360, 361-62 (1977), aff'd, 63 A.D.2d 1076, 406 N.Y.S.2d 565 (1978). Our task is to determine whether an amendment to section 43.03(c) of the New York Mental Hygiene Law, which requires those committed under N.Y.Crim.Proc.Law Sec. 330.20(6) to pay for their institutional care while exempting others held pursuant to a criminal court order, undermines the guarantee of equal protection. In addition, we must consider whether Mental Hyg.Law Sec. 43.03(c) (McKinney 1988) conflicts with the protection afforded social security benefits under 42 U.S.C. Sec. 407(a) (1982 & Supp.V.1987) against "execution, levy, attachment, garnishment, or other legal process" in violation of the Constitution's Supremacy Clause.

At the time of appellants' commitment, New York State exempted all persons receiving services while being held pursuant to a criminal court order from paying the costs of their institutional care. 1 Mental Hyg.Law Sec. 43.03. In 1985, however, the New York legislature amended section 43.03(c) so as not to apply to persons committed to the OMH pursuant to section 330.20 (hereafter also referred to as "mental health acquittees" or simply "330.20s"). 2 Thereafter, OMH's Bureau of Patient Resources adopted measures for billing mental health acquittees--directly or through a representative payee appointed by the Social Security Administration--for the cost of their care and treatment and for collecting revenue for the agency.

In the instant case, all OMH assessments are satisfied partially through appellants' social security benefits. Acting as Giardiana's representative payee, the Director of the Kings Park Psychiatric Center deposits Giardiana's social security checks into the patient's hospital account, which the Center's business office debits each month to reflect payment of fees. Acting as representative payee for his brother Frank, Dominick Fetterusso collects appellant's social security benefits and pays the OMH for his brother's care and maintenance. Hofendiener, who does not have a representative payee, deposits his Social Security For the reasons indicated below, we find that section 43.03 does not offend the Equal Protection Clause nor is there any evidence indicating a conflict with the Social Security Act. Accordingly, we affirm the district court's order granting summary judgment on the cross-motion seeking dismissal of appellants' complaint.

checks directly into his account at the Mid-Hudson Psychiatric Center, and its business office debits his account each month.

DISCUSSION
1. Equal Protection

Since section 43.03 does not involve a suspect class of persons and does not impinge on a fundamental right, its exceptional treatment of 330.20s is sound if it rationally serves a legitimate state interest. Harris v. McRae, 448 U.S. 297, 322, 100 S.Ct. 2671, 2691, 65 L.Ed.2d 784 (1980); McGowan v. Maryland, 366 U.S. 420, 425, 81 S.Ct. 1101, 1104, 6 L.Ed.2d 393 (1961); Eisenbud v. Suffolk County, 841 F.2d 42, 45 (2d Cir.1988). Appellants contend that the primary purpose behind the 1985 amendment was to enable the State to obtain Medicaid and Medicare reimbursements for the treatment of 330.20s. Since the housing of mental health acquittees is more "custodial" than "therapeutic," appellants claim that the State is disqualified from such reimbursement. "[B]ecause the legislative purpose for which it was enacted has not been and apparently cannot be served," appellants conclude that the statutory exception for 330.20s is irrational.

Even should the OMH not qualify for federal reimbursement for treatment of 330.20s, 3 we do not find this dispositive of appellants' equal protection claim. We note that the parties agreed the appellees would not urge the statute was enacted for the purpose of claiming federal Medicare and Medicaid reimbursement. The State, moreover, is not limited to the purposes articulated during the legislative process. The district court correctly found that securing individual financial contribution toward mental health care serves an obvious legitimate governmental purpose, 715 F.Supp. 1272 at 1273 (S.D.N.Y.1989)--for it reduces the burden on the state fisc. Such purpose is self-evident; its provenance does not owe to the ingenuity of a government lawyer. Cf. Schweiker v. Wilson, 450 U.S. 221, 244, 101 S.Ct. 1074, 1088, 67 L.Ed.2d 186 (1981) (Powell, J., dissenting) (skeptical of post hoc justifications of a statute).

In any event, we must assess the rationality of section 43.03(c) in charging only mental health acquittees for OMH services. While the Equal Protection Clause "is essentially a direction that all persons similarly situated should be treated alike," Cleburne v. Cleburne Living Center, Inc., 473 U.S. 432, 439, 105 S.Ct. 3249, 3254, 87 L.Ed.2d 313 (1985), the Supreme Court has clarified that "[e]qual protection does not require that all persons be dealt with identically, but it does require that a distinction made have some relevance to the purpose for which the classification is made." Baxstrom v. Herold, 383 U.S. 107, 111, 86 S.Ct. 760, 763, 15 L.Ed.2d 620 (1966) (citing Walters v. City of St. Louis, 347 U.S. 231, 237, 74 S.Ct. 505, 509, 98 L.Ed. 660 (1954)). See also Griffin v. Illinois, 351 U.S. 12, 20, 76 S.Ct. 585, 591, 100 L.Ed. 891 (1956).

The State defends its policy of treating 330.20s differently from other persons criminally committed by urging that they are "more analogous" to persons civilly committed (who must pay for OMH services) 4 than to other patients criminally committed.

Appellants, on the other hand, emphasize the criminal court system has an ongoing responsibility for decisions affecting 330.20s, e.g., furloughs, transfers, releases, which are not solely dependent on the patient's progress or mental condition.

These arguments stray from the mark. Section 43.03(c) exempts from fees all persons criminally committed except mental health acquittees. Our inquiry must focus on whether there is a rational basis for treating 330.20s differently from other persons criminally committed, not whether requiring them to pay, as civil committees do, is justified. Accordingly, we must inquire into the nature and purpose of the various categories of criminal commitment and the standards and consequences of release to determine whether disparate treatment of 330.20s is justifiable.

In addition to those found not guilty by reason of a mental defect or illness, three other categories of persons can be ordered into the custody of the OMH by a criminal court: 1) persons being evaluated to determine their fitness to stand trial, N.Y.Crim.Proc.Law Sec. 730.10 (McKinney 1984 & Supp.1990); 2) those deemed incompetent to stand trial, Id.; and 3) prisoners in need of care for their mental illnesses, N.Y.Correct.Law Sec. 402 (McKinney 1987).

Between arraignment and sentencing, a court may order a defendant to undergo a fitness examination based on its threshold opinion that the person lacks the capacity to understand the proceedings against him or to assist in his own defense because of a mental disease or defect. N.Y.Crim.Proc.Law Secs. 730.10(1), 730.30. Such an examination thus is incidental to the prosecution of a crime. If following a hearing the court is satisfied that the defendant is not incapacitated, the criminal action against him must proceed. Id. Sec. 730.30. Similarly, in the case of a person found unfit to stand trial, once the incapacity no longer exists, the criminal action generally proceeds. Id. Sec. 730.50.

Incarcerated prisoners may be committed involuntarily under appropriate circumstances, see United States ex rel. Schuster v. Herold, 410 F.2d 1071 (2d Cir.), cert. denied, 396 U.S. 847, 90 S.Ct. 81, 24 L.Ed.2d 96 (1969). When it is determined that the prisoner is no...

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