CONSERVATORSHIP OF THE PERSON OF ROBERT
WENDLAND, Appellant
ROSE WENDLAND, Appellant
v.
FLORENCE WENDLAND and REBEKAH VINSON, Respondents
Third Appellate District No. C029439
No. S087265.
California Supreme Court Respondent's Brief.
August 21, 2000.
APPELLANT ROSE WENDLAND'S
RESPONSE BRIEF
LAWRENCE J.
NELSON STATE BAR #100008
99 BANKS
STREET SAN FRANCISCO, CA 94110
415-643-1707
Attorney for
Appellant ROSE WENDLAND
i
TABLE OF CONTENTS
Table of
Authorities ... iii
I.
Introduction ... 1
II.
Factual and Procedural Background ... 2
III.
Argument ... 3
A. § 2355
as Applied to Robert Wendland in This Case Does Not Violate Any of His
Constitutional Rights. ... 3
B.
Florence's Constitutional Challenges to the Validity of § 2355 are Exclusively
Facial in Nature. Based on Long-Standing, Basic Rules of Constitutional
Adjudication, These Challenges All Fail. ... 6
C. No
Action by a Conservator, Including a Decision to Refuse Life-Sustaining Medical
Treatment on behalf of a Conservatee, Is State Action and Therefore Is Not a
Deprivation of Life or Liberty without Due Process of Law in Violation of the
14 superth Amendment of the Federal Constitution and of Article 1, § 7 of the
California Constitution. ... 8
1.
Federal and California Precedent Firmly Establishes that Conservators are Not
State Agents Whose Conduct is Regulated by the Constitution. ... 8
2. As
Conservators' Actions Are Not State Action and Not Subject to Constitutional
Requirements, the Proper Evidentiary Standard of Proof Under § 2355 is that Set
by the Legislature: the Preponderance of the Evidence. ... 12
D.
Probate Code § 2355 Does Not Violate Robert's Right to Due Process under the
Federal and California Constitutions. ... 15
1. The
content of § 2355 as amended and effective today. ... 15
ii 2. Legislative Purpose and State
Interests ... 18
3. § 2355
Does Not Violate Robert's Right to Substantive Due Process. ... 23
I. Cruzan
and Due Process ... 24
II. The
Best Interests Objection ... 27
III. The
Right to Life Objection ... 31
IV. The Vagueness Objection ... 35
4. § 2355
Does Not Violate Robert's Right to Procedural Due Process. ... 38
E. § 2355
Does Not Violate Robert's Right to Equal Protection. ... 38
F. § 2355
constitutes a measured, reasonable, and constitutionally permissible
legislative response to the practical necessity of medical decision making for
incompetent adults. ... 40
G. In
Light of the Amendments to § 2355 Effective July 1, 2000 and the Factual
Findings of the Superior Court, This Court Should End This Litigation as a
Matter of Law. ... 44
IV.
Conclusion ... 48
iii
TABLE OF AUTHORITIES
CASES
Addington v. Texas (1979) 441 U.S. 418 ... 25
American Academy of Pediatrics v. Lungren (1997) 16
Cal.4th 307 ...
28, 29
Amwest Surety Ins. Co. v. Wilson (1995) 11 Cal.4th
1243 ... 30
Barber v. Superior Court (1983) 147 Cal.App.3d 1006 ... 13, 18, 29, 42, 43
Bartling v. Superior Court (1984) 163 Cal.App.3d 186 ... 18
Bernard v. Bank of America (1942) 19 Cal.2d 807 ... 46
Bouvia v. Superior Court (1986) 179 Cal.App.3d 1127 ... 18
Brian W. v. Superior Court (1978) 20 Cal.3d 618 ... 15
Brock v. Superior Court (1939) 12 Cal.2d 605 ... 5
Californians for Population Stabilization v.
Hewlett-Packard Co. (1997) 58 Cal.App.4th 273 ... 47
Castro v. State of California (1970) 2 Cal. 3d 223 ... 5
Choudhry v. Free (1976) 17 Cal. 3d 660 ... 5
Civil Rights Cases (1883) 109 U.S. 3 ... 9
Colombrito
v. Kelly (1985) 762 F.2d 122 (2 supernd Cir.) ... 10
Conservatorship of Angela D. (1999) 70 Cal.App.4th
1410 ... 39
Conservatorship of Drabick (1988) 200 Cal.App.3d 185, cert. denied, 488 U.S. 958 ... 14, 19, 20, 21, 22, 25
iv Conservatorship of Morrison (1988) 206 Cal.App.3d 304 ... 21, 35, 36
Conservatorship of Wendland (2000) 78 Cal.App.4th 517 ... 13, 45
County of Los Angeles v. Legg (1936) 5 Cal.2d 349 ... 7
County of Nevada v. MacMillen (1974) 11 Cal. 3d 662 ... 6
Cruzan v. Harmon (1989) 760 S.W.2d 408 (Mo.) ... 43
Cruzan. v. Director, Missouri Department of Health
(1990) 497 U.S. 261
... 15,22, 24-26, 33, 39
Crystal R. v. Superior Court (1997) 59 Cal.App.4th 703 ... 29
Dawn D. v. Superior Court (1998) 17 Cal.4th 932 ... 30
Dept. of
Soc. Serv. v. Sup. Ct. (1997) 58 Cal.App.4th 721 ... 30
Dyna-Med, Inc. v. Fair Employment & Housing Com.
(1987) 43 Cal.3d 1379 ... 7
Hale v. Morgan (1978) 22 Cal. 3d 388 ... 5
Home Depot, U.S.A., Inc. v. Contractors' State License
Bd. (1996) 41 Cal.App.4th 1592 ... 7
In re Colyer (1983) 660 P.2d 738 (Wash.) ... 32
In re Marriage of Arceneaux (1990) 51 Cal.3d 1130 ... 47
In re Marriage of Siller (1986) 187 Cal.App.3d 36 ... 4, 5
In re Martin (1995) 538 N.W.2d 399 (Mich.) ... 13, 42, 43
In re Sophia B. (1988) 203 Cal.App.3d 1436 ... 30
*v In re Valerie N. (1985) 40 Cal.3d 1130
... 14, 38, 39, 40
In re Westchester Cty. Med. Ctr. (1988) 72 N.Y.2d 517,
531 N.E.2d 607
... 43
In the Matter of Edna M.F. (1997) 563 N.W.2d 485 (Wi.) ... 43
Johnson v. Calvert (1993) 5 Cal.4th 84 ... 29, 43
Kruger v. Wells Fargo Bank (1974) 11 Cal.3d 352 ... 9, 11, 12, 15
L.A. County. Dept. of Children and Family Services v.
Superior Court (1998) 62 Cal.App.4th 1 ... 30-31
Malachowski v. Keene (1986) 787 F.2d 704 (1 superst Cir.) ... 10
Matter of Conroy (1985) 486 A.2d 1209 ... 32
Matter of Guardianship of L.W. (1992) 482 N.W.2d 60 (Wis.) ... 32
Meeker v. Kirch (1986) 782 F.2d 153 (10 superth Cir.) ... 10
Musso v. Suriano (1978) 586 F.2d 59 (7th Cir.), cert. denied, 440 U.S. 971 ... 10
People v. Hsu (2000) 2000 Daily Journal D.A.R. 8607 ... 35
People v. Wingo (1975) 14 Cal. 3d 169 ... 4, 5
Reitman v. Mulkey (1967) 387 U.S. 369 ... 12
Robinson v. Florida (1964) 378 U.S. 153 ... 12
Shelley v. Kramer (1948) 334 U.S. 1 ... 9
Snyder v. Talbot (1993) 836 F. Supp. 19 (D. Me.) ... 10
Spencer v. Lee (1989) 864 F.2d 1376 (7 superth Cir.) ... 10
*vi Stantosky v. Kramer (1982) 455 U.S. 745 ... 25
State Dept. of Hum. Res. v. Northern (1978) 563 S.W.2d
197 (Tenn. Ct.
App.) ... 3
Super. Of Bel. St. Sch. v. Saikewicz (1977) 370 N.E.2d
417 ... 28
Taylor v. First Wyoming Bank, 707 F.2d 388 ... 9, 10
Thompson v. Oklahoma (1988) 487 U.S. 815 ... 34
Thor v. Superior Court (1993) 5 Cal.4th 725 ... 18, 19, 21, 23, 48
Tobe v. City of Santa Ana (1995) 9 Cal.4th 1069 ... 7
Vacco v. Quill (1997) 521 U.S. 793 ... 32, 33
Wilcox v. Birtwhistle (1999) 21 Cal.4th 973 ... 15
Yick Wo v. Hopkins (1886) 118 U.S. 356 ... 5
CALIFORNIA STATUTES
Code of
Civil Procedure § 631.8 ... 46
Code of
Civil Procedure § 634 ... 47
Code of
Civil Procedure § 909 ... 46, 47
Evidence
Code § 115 ... 14
Family
Code § 8704 ... 31
Probate
Code § 1470-72 ... 38
Probate
Code § 1801(e) ... 14, 38
*vii Probate Code § 1812 ... 38
Probate
Code § 1822 ... 38
Probate
Code § 1826 ... 38
Probate
Code § 1829 ... 38
Probate
Code § 1950 et seq. ... 38, 39
Probate
Code § 2101 ... 30, 45
Probate
Code § 2355 ... passim
Probate
Code § 2356.6 ... 14
Probate
Code § 4615 ... 16, 17
Probate
Code § 4617 ... 16, 17
Probate
Code § 4623 ... 17
Probate §
4670-4743 ... 13
The
Health Care Decisions Act, § 4600-4805 ... 18
Welfare
& Institutions Code § 366.26(j) ... 31
Welfare
& Institutions Code § 4502 ... 20
OTHER STATES' STATUTES
Alabama §
22-8A-1 et seq ... 41
Arizona
Rev. Stat. § 36-3203(C) & (D), 36-3231(D) ... 42
Delaware
Title 16, § 2501 et seq ... 41
*viii Hawaii Ch. 327E-1 et seq ... 41
Maine
Title 18-A, § 5-801 et seq. ... 41
Mississippi
§ 41-41-201 et seq ... 41
New
Mexico § 24-7A-1 et seq ... 41
COURT RULES
Calif.
Rule of Court 29.3(c) ... 5
California
Rules of Court 232(d) ... 47
CONSTITUTIONAL PROVISIONS
14
superth Amendment to the U.S. Constitution ... 8, 9
Article
1, § 1 of the California Constitution ... 35
Article
1, § 7 of the California Constitution ... 8
Article
I, § 13 of the California Constitution ... 9
OTHER AUTHORITIES
Gerald
Kelly, S.J., Medico-Moral Problems (1958) ... 4
Alan
Meisel, The Right to Die (Supp. 2000) ... 27, 28
Michelle
Mello, Death, Life, and Uncertainty: Allocating the Risk of Error in the *ix
Decision to Terminate Life Support, 109 Yale L. J.
635-642 (1999)
... 28
64 Op.
Calif. Atty. Gen. 712 (1981) ... 11
James
Rachels, The End of Life (1986) ... 34
1
Sutherland, Statutory Construction (Sands, 4th ed. 1985) § 2.06 ... 5
Uniform
Health-Care Decisions Act ... 40
*1 I.
Introduction
The single issue presented in Florence's
petition for review boils down to whether "appropriate" policy
reasons underlie Probate Code § 2355's [FN1] standards for medical decision
making by conservators on behalf of conservatees. This is a question the
judiciary cannot answer. Florence's wish that the California Legislature had
adopted a different version of § 2355--a wish that has permeated her arguments
in this litigation for over 5 years-- should be taken to the Legislature where
it belongs, and summarily ignored by this Court as well. As the plain language
of a facially constitutional statute permits Rose
Wendland to refuse medically provided nutrition and hydration on behalf of her
husband and conservatee, Robert, Florence's insistence that a different law
informed by different policy be imposed by this Court cannot be honored without
doing violence to fundamental democratic and constitutional separation of
powers principles.
FN1. All statutory references are to the Probate Code unless
otherwise noted.
Florence's opening brief asks this Court to
strike down § 2355 as unconstitutional. She essentially urges this Court to
make constitutional law in true Rube Goldberg fashion. She has concocted an
amazing contraption of scavenged bits and pieces of law and constitutional
doctrine from hither and yon (from inapplicable out-of-state cases, U.S.
Supreme Court excerpts often pulled badly out of context, and from plain-old
thin air), littered it with proverbial red herrings, [FN2] put it together with
analytically fragile bailing wire as well as poorly disguised ideological
single-mindedness, and offered it to this Court as carefully reasoned
constitutional law. This the judiciary should not accept.
FN2. Webster's New Twentieth Century
Unabridged Dictionary defines "red herring" as "something used
to confuse or divert attention from something else."
It is true that Robert's life is at stake in
this litigation, but "life" in both *2 the biological and
biographical sense of the word. Rose does not deny that her decision to refuse
further tube feeding of her husband is a weighty and difficult ethical
decision. But California law gives this decision to her and to her alone. She
must do the morally right thing according to her conscience, and this is within
applicable statutory standards. As the Legislature has chosen these standards,
this Court should only decide whether these pass constitutional scrutiny. Most
important, it need not make the ethical and personal decisions about Robert's
ultimate fate as these rightly belong to his wife and close family.
By upholding § 2355 as constitutional, this
Court will not be placing the lives of the disabled at risk or inviting some
Holocaust of the helpless perpetrated by irresponsible conservators, superior
court judges, physicians, and health facilities. It will instead allow
conserved incompetent adults to be benefitted by medical treatment or relieved
of the pain, burden, and intrusiveness of that treatment on a case-by-case
basis, with individual decisions made by judicially appointed
and supervised conservators and with constitutionally adequate safeguards
placed on the process by § 2355. Upholding § 2355 respects the dignity of
mentally disabled conservatees and treats them as subjects, not as objects or
symbols of a cause. The citizens of California have a compelling interest in
ensuring that conservatees be treated like individual human beings with
differences and similarities, with rights and interests like other persons that
can be protected for them by their conservators.
II. Factual and Procedural Background
To avoid repetition, Rose adopts Robert's
statement of facts and legal procedure, but with the addition of the following
few comments. Florence is trying to induce this Court to recast the law in
light of her version of "the facts" of Robert's medical condition, a
version which makes it sound as if he has multiple present interests and
abilities that make any decision to allow him to *3 die an immoral [FN3]
act of invidious discrimination. (Respondents' Brief at 8-9 (RB).)
FN3. She also takes gratuitous cheap shots at the character
of Rose and her (then teenage) daughter Katie. (RB at 6-7, 22 (thinly veiled
references to Rose coveting Robert's life insurance proceeds, her reasons for
not just divorcing him, and her "extramarital relationships").) These
deserve no rebuttal, but do illuminate the character of Rose's opponents in
this litigation.
As both Rose and Robert have responded to
these claims below, [FN4] Rose will not repeat her position. [FN5] Instead, she
calls the Court's attention to the findings of Judge McNatt regarding Robert's
medical condition.
FN4. Rose Reply Brief at 22-29, especially 26-29; Robert's
Opening Brief at 9-11.
FN5. However, even though it is not directly relevant to the
legal resolution of this appeal, Rose represents to this Court that Robert's
medical condition has deteriorated during the long pendency of this litigation
and that he is no longer able to perform the activities numbered 1 through 12
as stated in Florence's brief at 8-9. Rose invites this Court to visit Robert
if any of its members believe Florence's "facts" influence his or her
legal evaluation of the case. There is precedent for appellate judges visiting
the patient in "right to die" cases. (See, e.g., State Dept. of Hum. Res. v. Northern (1978) 563 S.W.2d
197 (Tenn. Ct.
App.).)
This court explicitly finds, based on the
overwhelming body of evidence, that conservatee has no reasonable chance for
the return to cognitive and sapient life. Although
neither comatose nor persistently vegetative, he remains severely brain
damaged, partially paralyzed, totally dependent upon others for all of his
needs, unable to communicate, and reliant upon life support for nutrition and hydration.
Other than hopes expressed by some witnesses..., there was no medical evidence
that conservatee's condition is ever likely to improve past present levels. (JA
at 623-24; no need for added emphasis.)
These findings by a judge who did visit Robert
and heard all of the medical testimony, combined with the relatively updated
medical reports submitted by *4 Robert's attorney with his brief, are
what this Court should focus on (though a more current report would show no
improvement). Robert is a man with no life that is meaningful to him. He is not
in touch with other people, not even his wife and beloved children. He is
isolated in a world that he experiences as negative. Further medical treatment
cannot change any of this or make his life any better. In light of this,
further treatment is "extraordinary" and morally optional in the
traditional vocabulary of medical ethics:
[By extraordinary means for preserving life]
we mean all medicines, treatments, and operations, which cannot be obtained or
used without excessive expense, pain, or other inconvenience, or which, if
used, would not offer a reasonable hope of benefit. (Gerald Kelly, S.J.,
Medico-Moral Problems, 129 (1958).)
III. Argument
A. § 2355 as Applied to Robert Wendland in
This Case Does Not Violate Any of His Constitutional Rights.
The Court's letter to counsel of June 23 asks
them to address two questions:
Does Probate Code section 2355 (as amended
by Stats. 1999, ch. 658, effective July 1,2000) authorize the conservator to
withdraw artificial nutrition and hydration from the conservatee under the
facts of this case? If so, does section 2355 as applied violate any
constitutional right of the conservatee?
Florence's opening brief answers neither
question at all clearly, and certainly not directly. The first of these must be
answered affirmatively as a straightforward application of the plain words of
the statute (and Rose explains this infra.) The second entails a very different
inquiry.
Where a statute is not vulnerable to facial
constitutional attack, a citizen may still contend the operation of the statute
violates constitutional rights. ""A statute valid on its face may be
unconstitutionally applied. [Citations.]'' (People v. Wingo (1975) 14 Cal. 3d 169, 180....) "Sometimes it is said of a
statute which is not void 'on its face' that it nevertheless is invalid as
applied. This is a [misnomer], however, for a provision which is only invalid
as applied in the facts of a particular case *5 is possibly capable of valid application in another fact situation. In
reality, it is only the implementing action which purports to apply the
legislation and not the provision itself which is invalid in such cases."
(1 Sutherland, Statutory Construction (Sands, 4th ed. 1985) § 2.06, pp. 31-32, fn. omitted. (In re Marriage of Siller (1986) 187 Cal.App.3d 36, 50; citations omitted.)
Consequently, the Court's second question
asks Florence to explain how the action of the State implementing § 2355, i.e.,
applying it to Robert Wendland, violates his constitutional rights. And it must
be the action of the State that triggers the constitutional violation and not
Rose's activity because, as she is not a state agent (discussed infra), her
activities are not subject to constitutional requirements. It also has to be
action originating with the State because
the usual remedy is an order to officials
charged with enforcement of the statute to refrain from its unlawful
application; the statute itself remains intact and may be applied in other
situations where the Constitution is not offended. (See, e.g., Hale v. Morgan (1978) 22 Cal. 3d 388, 404-405 ..., Choudhry v. Free (1976) 17 Cal. 3d 660, 669...; Castro v. State of California (1970) 2 Cal. 3d 223,
225, 243....)
(Id. at 51; parallel citations omitted; emphasis added.)
As a threshold matter, Florence has made no
showing of any kind that the State has implemented §
2355 in a manner that violates Robert's rights. Rose cannot find anything in
Florence's opening brief that even vaguely resembles the quintessential example
of a facially valid statute being unconstitutionally applied which has been
repeatedly cited by this Court in, e.g., People v. Wingo (1975) 14 Cal.3d 169, 180 and Brock v. Superior Court (1939) 12 Cal.2d 605, 610: Yick Wo v. Hopkins (1886) 118 U.S. 356, 373-74 (discriminatory application of a
licensing law against Chinese applicants). As the burden is on Florence to make
this argument, and to make it explicitly (per Calif. Rule of Court 29.3(c)),
and she has failed to do so, the second of the Court's questions must be
answered in the negative.
*6 If Florence's claim is that § 2355
is susceptible to an unconstitutional application (i.e., that it is overbroad
in application), then she is not truly making an "as applied"
challenge, and the statute should stand.
Unless a statute facially tenders a present
total conflict with constitutional provisions, any overbreadth in a statute is
ordinarily cured through case-by-case analysis of the fact situations to which
the statute is applied. (County of Nevada v. MacMillen [(1974) 11 Cal. 3d 662, 672].)
In other words, if Florence's concern is that
a conservator might be given § 2355 authority by a court in an unconstitutional
manner, or that a court might somehow review a conservator's actions under the
statute in an unconstitutional manner, the remedy is to
have the result in that particular case cured by the usual legal processes and
not to have the statute declared unconstitutional on its face or as applied. In
any event, Florence's opening brief contains no argument that any state action
in Robert's case has applied or used § 2355 in an unconstitutional manner.
B. Florence's Constitutional Challenges to the
Validity of § 2355 are Exclusively Facial in Nature. Based on Long-Standing,
Basic Rules of Constitutional Adjudication, These Challenges All Fail.
Florence's varied challenges to the
constitutionality of § 2355 are exclusively facial in nature because they apply
to all conservatees--and not just to Robert. They are facial in nature because
all conservatees share the same rights (such as the right to life and to equal
protection) that she alleges are impermissibly infringed by the statute (Rose's
action as conservator being exempt from constitutional scrutiny). The same
alleged constitutional defects in § 2355 affect all conservatees and not just
Robert. In short, the constitutional questions she raises are universal.
Making a facial challenge to this statute
places a heavy burden on her. Pointing out possible deficiencies in theoretical
cases, having disagreements with the policy the statute espouses, or
criticizing its lack of perfection are all insufficient reasons for this Court
to find § 2355 unconstitutional. *7 To support a determination of
facial unconstitutionality, voiding the statute as a whole, petitioners cannot
prevail by suggesting that in some future hypothetical situation constitutional
problems may possibly arise as to the particular application of the statute....
Rather, petitioners must demonstrate that the act's provisions inevitably pose
a present total and fatal conflict with applicable constitutional prohibitions.
(Tobe v. City of Santa Ana (1995) 9 Cal.4th 1069, 1084 (emphasis added; citations omitted)).
As a global matter, Florence has plainly not
met this burden. None of her arguments demonstrate that § 2355's provisions
"inevitable pose a present total and fatal conflict" with a
conservatee's constitutional rights to due process protection for his life and
liberty, to equal protection, and to privacy.
A facial constitutional challenge is very
difficult to demonstrate because
""[a]ll presumptions favor the validity of a statute. The
court may not declare it invalid unless it is clearly so.'' (Id. at 1102; emphasis added.) In addition, "[a] statute should be
construed whenever possible so as to preserve its constitutionality." (Dyna-Med, Inc. v. Fair Employment & Housing Com.
(1987) 43 Cal.3d 1379, 1387 (citations omitted).) Likewise, statutes must be interpreted
"with due regard to the language used and the purpose sought to be
accomplished" (Home Depot, U.S.A., Inc. v. Contractors' State License
Bd. (1996) 41 Cal.App.4th 1592, 1601), and not in the abstract. Finally, the reviewing court should give a statute a reading that
reconciles it with the Constitution and doesn't create conflict between the two
that need not be there.
The Constitution and the statute are to be
read together. If the terms of a statute are by fair and reasonable
interpretation capable of a meaning consistent with the requirements of the
Constitution, the statute will be given that meaning, rather than another in
conflict with the Constitution. (County of Los Angeles v. Legg (1936) 5 Cal.2d 349, 353.)
When § 2355 is interpreted in a fair and
reasonable manner, when its plain language is understood in light of the ends
it is trying to achieve, and when it is given the presumption of
constitutionality it deserves, Florence's attacks on it cannot stand. Much of
her interpretation violates these *8 fundamental rules of constitutional
adjudication. Furthermore, her reasoning is often badly strained, weakly
grounded in mainstream constitutional analysis, and always colored by one
underlying assumption--that the Constitution requires human biological life to
be preserved regardless of its quality--which is grounded in ideology rather
than the Constitution or sound ethical analysis. Rose's interpretation of §
2355 in its proper context and her more detailed defense of its
constitutionality follows below.
C. No Action by a Conservator, Including a
Decision to Refuse Life-Sustaining Medical Treatment on
behalf of a Conservatee, Is State Action and Therefore Is Not a Deprivation of
Life or Liberty without Due Process of Law in Violation of the 14 superth
Amendment of the Federal Constitution and of Article 1, § 7 of the California
Constitution.
1. Federal and California Precedent Firmly
Establishes that Conservators are Not State Agents Whose Conduct is Regulated
by the Constitution.
Florence asserts that Rose's decision to
forgo further use of medically provided nutrition and hydration, and the
concomitant decision to allow him to die of natural causes, impermissibly
deprives Robert of his constitutionally protected right to life.
Constitutionally-decreed checks and balances
dictate that...the conservatee's right to life must supercede the conservatee's
right to have a surrogate decision-maker vicariously exercise his/her right to
make treatment--if that vicarious exercise would result in the conservatee's
death." (Respondents' Brief at 12 (RB).)
This argument rests on the assumption that
Robert's constitutional rights are implicated precisely because he is being
deprived of life by Rose's decision to refuse medical treatment. There is no
other way to intelligibly read this sentence (no model of clarity in the first
place) given its concluding clause ("if that vicarious exercise would
result in the conservatee's death") and its reference
to "the conservatee's right to life."
However, Florence's argument here--and any
argument claiming that Rose's action as conservator violates the Federal or California
Constitution-- *9 trips and falls on the critical threshold issue for
any constitutional argument like this: whether state action is present to
trigger constitutional applicability. In this instance, the issue is whether it
is the state that is depriving Robert of life or liberty when a conservator
refuses life-sustaining medical treatment on behalf of her conservatee. As Rose
is not a state agent, her decisions as conservator for Robert, whatever they
may be, cannot violate the Constitution.
The Fourteenth Amendment provides that
" No state shall ... deprive any person of life, liberty, or property,
without due process of law." (Italics added.) As stated in Shelley v. Kramer (1948) 334 U.S. 1, 13..., the only action inhibited by the due
process clause is "such action as may fairly be said to be that of the
States. [The Fourteenth] Amendment erects no shield against merely private
conduct, however discriminatory or wrongful. (Kruger v. Wells Fargo Bank (1974) 11 Cal.3d 352, 358) (parallel citations omitted.)
Put succinctly, "private action, however
hurtful, is not unconstitutional. (Civil Rights Cases (1883) 109 U.S. 3, 11.)" (Id. at 358.) Private action
cannot offend the due process clause of Article I, § 13 of the California Constitution either. (Id. at 366-67.)
Overwhelming judicial authority in both the
federal and California courts unarguably demonstrates that the acts of a
conservator acting on behalf of a conservatee do not constitute the state
action necessary to trigger constitutional scrutiny. First, federal authority
strongly and expressly rejects the claim that a court appointed guardian or
conservator is a state actor. In Taylor v. First Wyoming Bank (1983) 707 F.2d 388, 389 (9 superth Cir.), the court held that
the actions of a guardian of the person and estate of an adult judicially
declared to be incompetent (Ms. Taylor) did not constitute action under color
of state law and that the ward's § 1983 action against the guardian for
violation of the ward's civil rights was properly dismissed for failure to
state a claim. It set forth the standards for identifying state action as
follows.
Action under color of state law normally
consists of action taken by a public agency or officer. When taken by a private
person, "[t]he mere *10 fact that a business is regulated by state
law or agency does not convert its dealings into acts "under color of
state law".... A private action may constitute an action under color of
state law if the private person wilfully participates in joint action with the
state or its agents.... The private action may also be under color of state law
if it constitutes the exercise of "some power delegated
to [[the private person] by the state which is traditionally associated with
sovereignty" or is "traditionally exclusively reserved to the
state".... (Id.; citations omitted)
Rose, like the bank in Taylor, is obviously a
private person and not a
""public agency or officer" or a state employee. Just
like the state in Taylor, the state is not responsible for Robert's personal
care as it would be if he were a ward of the state.
[Ms. Taylor] is in no sense a ward or
responsibility of the state. The guardian, in the performance of her duties,
was not participating in joint action with the state or acting for the state or
serving a public function. Her actions did not constitute the exercise of power
traditionally associated with sovereignty or reserved to the state. (Id.)
Likewise, Rose is acting on the basis of her
own conscience when deciding what medical treatment is appropriate for her
husband; she is not participating in ""joint action" with the
state or "serving a public function." She is serving the very private
and individual function of determining the morally proper course of her
husband's life. None of this is exercising a "public function" of the
state. The care of the incompetent, sick, and elderly "has traditionally
been a function associated with the family, not with sovereignty". (Musso v. Suriano (1978) 586 F.2d 59, 63 (7th Cir.), cert. denied, 440 U.S. 971)
The 9 superth
Circuit holding in Taylor is but one of many that has reached the same result:
judicially appointed guardians and conservators are not state actors. See,
e.g., Meeker v. Kirch (1986) 782 F.2d 153 (10 superth Cir.) (court-appointed
guardian ad litem not a state actor because she owes her undivided loyalty to
the ward, just as Rose does); Colombrito v. Kelly (1985) 762 F.2d 122 (2
supernd Cir.); Malachowski v. Keene (1986) 787 F.2d 704 (1 superst Cir.); *11Snyder v.
Talbot, 836 F. Supp. 19 (D. Me. 1993) (guardian as litem not a state actor when she is
responsible for exercising independent judgment about the ward's rights, just
like Rose is). Furthermore, private parties who involuntarily commit and treat
a psychiatric patient are not state agents, despite state authorization and
supervision of this activity and provision for judicial review. (Spencer v. Lee (1989) 864 F.2d 1376 (7 superth Cir.) (treatment of the
mentally disabled, as of the sick and infirm generally, is not a governmental
function).) The State does not "encourage" Rose to refuse treatment
for Robert any more than it "encourages" commitment for mental
illness. (Id. at 1379.) (See also 64 Op. Calif. Atty. Gen. 712 (1981) (parental
decision to confine minor in a private mental health facility not state action
despite state authorization and oversight.)
This Court's decisions about state action
mandate the same result. The leading case that specifies the standards for
identifying state action is Kruger v. Wells Fargo Bank (1974) 11 Cal.3d 352. Kruger had a checking account and
credit card agreement with the bank. The bank deducted a sum from the checking
account and applied it to a credit card delinquency pursuant to a statute.
Subsequently, some of Kruger's checks bounced. Kruger sued the bank and
claimed, inter alia, that it unconstitutionally deprived her of the use of her
property without due process of law. As the bank, just like Rose, is clearly
not a state official or employee, the issue is whether a private party, acting
pursuant to or in accordance with a state statute, thereby becomes a state
actor. The Court identified the standards for determining whether a private
party's actions can constitute state action as follows.
Those cases predicating state action upon
the impact of a statute on private behavior fall generally into three
categories. The first...consists of cases which adjudicated statutes that
compelled private action. The second category encompasses those statutes which,
while not compelling private action, endorse and encourage that action as state
policy. The third group comprises the decisions in which the statutes create a
private right of summary seizure. (Id. at 361; footnotes omitted)
*12 The first category does not apply
to this case as the challenged statute, § 2355, does not compel Rose to do
anything; it does not force her to consent to or refuse medical treatment of
Robert as the state sees fit. [FN6] It merely
authorizes her to make such decisions (after all, making decisions is
inescapable for a totally uncommunicative person like Robert) and establishes
certain standards for assessing their legal acceptability if one is called into
question.
FN6. For an example of state compulsion of private behavior,
see Robinson v. Florida (1964) 378 U.S. 153 (segregation of private facilities
required by state law).
The second category is equally inapplicable.
Kruger offers Reitman v. Mulkey (1967) 387 U.S. 369 as the leading example of the
application of the ""encouragement" theory. Reitman struck down
a California initiative that both replaced all laws banning racial
discrimination in housing and also stripped the state of all authority to
affect or eliminate the "right" of private sellers and renters to
discriminate on racial grounds.
The essence of the Reitman decision is that
an action of the state which is not merely permissive of discrimination but a
significant encouragement of it, and a consequent involvement of the state in
it, does constitute state action." (11 Cal.3d at 361)
California in no way "significantly
encourages" conservators like Rose to accept or
reject medical treatment of conservatees, nor does it involve the state in such
decision making in any direct way. Kruger's third category obviously does not
apply either. Therefore, under California law, conservators are not state
agents whose conduct is subject to Constitutional limits.
2. As Conservators' Actions Are Not State
Action and Not Subject to Constitutional Requirements, the Proper Evidentiary
Standard of Proof Under § 2355 is that Set by the Legislature: the
Preponderance of the Evidence.
The conclusion that a conservator's actions
are not state action invalidates the Court of Appeal's holding that due process
requires that a conservator show by clear and convincing evidence that she has
satisfied the *13 § 2355 requirements. (Conservatorship of Wendland (2000) 78 Cal.App.4th 517,
549- 555.)
Curiously, the Court of Appeal recognized the constitutional significance of a
conservator or guardian not being a state agent in passing (Id. at 548), but did analyze or justify its assumption that a
conservator's acts constitute state action. All authority shows that the Court
of Appeal made this assumption in error.
This same conclusion likewise invalidates
Florence's constitutionally based claims about the evidentiary standard of
proof scattered throughout her brief. Apparently Florence is arguing that: (1)
Rose must prove by clear and convincing evidence that it would be in Robert's
best interests to refuse medically provided nutrition
and hydration (RB at 2, 25); (2) Rose must prove by clear and convincing
evidence that Robert himself refused the treatment in question prior to losing
capacity (RB at 37-38: discussion of this rule in Martin and reference to the "constitutional
requirements...underlying Martin); [FN7] and (3) Rose must prove by the clear
and convincing evidence or beyond a reasonable doubt standard that her medical
decisions meet the § 2355 standards [FN8] (RB at 12, *14 27-30). Because
conservators are not state agents, no constitutional basis exists for judicial
imposition of these standards of proof on a private actor.
FN7. If this argument prevailed, § 2355 would in effect be
repealed because its central policy judgment is that conservators should be
making medical decisions, guided by the patient's instructions, wishes, or best
interests (as applicable), not conservatees using the mythic crystal ball to
"inform" them what their medical future might hold and make
hypothetical refusals of treatment.
FN8. Florence's and the Court of Appeal's assumption of
state action, as well as their insistence that this applies only or primarily
because the conservator's decision may or will result in the conservatee's
natural death, would also apply to attorneys-in-fact
appointed pursuant to a durable power of attorney for health care (Probate §
4670-4743) and possibly even family members who make such decisions pursuant to
the authority of Barber v. Superior Court (1983) 147 Cal.App.3d 1006,
1021. If Florence
and the Court of Appeal are right, then nearly every decision to forgo
life-sustaining treatment made in the state (and there are many every day)
would be subject to constitutional requirements regarding procedural and
substantive due process. Private action in this realm would all but disappear,
and the courts would be busy.
Consequently, determining the standard of
proof in these matters is up to the Legislature, and it has spoken on this
issue. First, § 2355's plain language totally rejects argument #2 above: the
Legislature has reasonably determined that it is better for conservators to
make these decisions contemporaneously than for citizens to make hypothetical
medical decisions years (maybe decades) in advance with little but hope and
guesswork to guide them.
Second, several reasons exist for recognizing
that the Legislature has also rejected Florence's arguments # 1 and 3. One,
Evidence Code § 115 provides that the standard of proof in civil matters is
preponderance of the evidence, unless otherwise provided by law--either by the
Constitution as interpreted by the judiciary or by the
constitutionally permissible choice of the Legislature. [FN9] As § 2355 does not contain a provision
for a higher standard of proof and the Constitution does not govern private
action, § 115 controls. Two, the Legislature is surely aware not only of its
ability to impose a higher standard when it believe such appropriate (see §
1801(e) and § 2356.6 as enacted in 1996), but also of Conservatorship of Drabick's (1988) 200 Cal.App.3d
185, 211-12,
cert. denied, 488 U.S. 958 refusal to impose a higher standard. Yet it made no such
change in 1990, when it reenacted the entire Probate Code, or in 1996 when it
added the higher standard to § 1801(e) and § 2356.6. Three, the California Law
Revision Commission, the sponsor of the bill (Stats. 1999, ch. 658) that
amended § 2355 effective July 1,2000, entered an Official Comment to this
effect.
FN9. This is what the Legislature did in the wake of In re
Valerie N., infra.
This section does not specify any special
evidentiary standard for the determination of the conservatee's wishes or best
interest. *15 Consequently, the general rule applies: the standard is by
the preponderance of the evidence. Proof is not required by clear and
convincing evidence.
California Law Revision Commission reports
and materials are authoritative sources for guidance in statutory
interpretation. (Brian W. v. Superior Court (1978) 20 Cal.3d 618 622; see also Wilcox v. Birtwhistle (1999) 21 Cal.4th 973, 980.)
In summary, Florence assumes, completely
without argument or authority, that Rose is a state agent whose actions are
governed by constitutional requirements. All available authority indicates that
conservators are not state agents and therefore that the Constitution does not
control her behavior. [FN10] Therefore, Florence's arguments (1) that Rose's
activity as medical decision maker for Robert violates his constitutional
rights, and (2) that a higher standard of evidentiary proof than the
preponderance is constitutionally mandated must be rejected.
FN10. Kruger also rejected the claim that the bank was a
state agent because "the banking industry is so highly regulated, and
performs so important a function, that the act of a bank should be treated as
the act of the state itself." (Id. at 360, 364-66.) Therefore, this line of argumentation
isn't open to Florence either.
However, Florence
has also claimed that § 2355 itself violates Robert's constitutional rights. As
the operation of this statute, like the Missouri court ruling reviewed in Cruzan v. Director, Mo. Dept. of Health (1990) 497
U.S. 261, is
state action, we address this claim on the merits next.
D. Probate Code § 2355 Does Not Violate
Robert's Right to Due Process under the Federal and California Constitutions.
1. The content of § 2355 as amended and
effective today.
By letter of June 23, 2000, this Court
directed counsel to address the following two questions:
Does Probate Code section 2355 (as amended
by Stats. 1999, ch. 658, effective July 1, 2000) authorize the conservator to
withdraw artificial *16 nutrition and hydration from the conservatee
under the facts of this case? If so, does section 2355 as applied violate any
constitutional right of the conservatee?
Rose will discuss § 2355 more generally as
well as address these questions in this and subsequent portions of this brief.
We note with great interest that Florence declined to discuss in any manner
either of these questions. In any event, it is vital to discuss § 2355 in its
present form and not its previous incarnations.
First, any interpretation of § 2355 (or any
statute), whether from a constitutional or other point of view, must start with
its plain language. If the conservatee has been adjudicated to lack the capacity to
make health care decisions, the conservator has the exclusive authority to make
health care decisions for the conservatee that the conservator in good faith
based on medical advice determines to be necessary. The conservator shall make
health care decisions for the conservatee in accordancewith the conservatee's
individual health care instructions, if any, and other wishes to the extent
known to the conservator. Otherwise, the conservator shall make the decision in
accordance with the conservator's determination of the conservatee's best
interest. In determining the conservatee's best interest, the conservator shall
consider the conservatee's personal values to the extent known to the
conservator.
The statute grants conservators the
"exclusive authority" to make "health care decisions" on
behalf of conservatees. § 2355 specifically gives "health care" and
"health care decision" the meaning they have in § 4615 [FN11] and §
4617 [FN12] of the Probate Code. Together these statutes not only make clear
that the conservator *17 is authorized to accept or reject any proposed
medical treatment, but also expressly authorized to "withhold...
artificial nutrition and hydration," [FN13] the precise--and
only--treatment decision that the Superior Court enjoined Mrs. Wendland from
making. In answer then to the Court's first question, § 2355 undeniably
authorizes Rose to withdraw Robert's medically provided
nutrition and hydration.
FN11. "'Health care' means any care, treatment,
service, or procedure to maintain, diagnose, or otherwise affect a patient's
physical or mental condition."
FN12. "'Health care decision' means a decision made by
a patient or the patient's agent, conservator, or surrogate, regarding the
patient's health care, including the following...(c) Directions to provide,
withhold, or withdraw artificial nutrition and hydration and all other forms of
health care, including cardiopulmonary resuscitation."
FN13. In this brief, Mrs. Wendland will use the more
descriptively accurate term "medically provided nutrition and
hydration" in place of the statutory phrase "artificial nutrition and
hydration," though both refer to the same set of medical procedures,
namely, nasogastric tubes, gastrostomy tubes, jejunostomy tubes, and
hyperalimentation. The statutory phrase is imprecise in that it seems to state
that the nutrition and hydration patients receive is "artificial"
when in reality it is the means by which calories and fluids are provided to
patients (tubes manually or surgically implanted in the
stomach or heart) which are "artificial."
The statute goes on to direct conservators to
make health care decisions "in accordance with the conservatee's
individual health care instructions, if any, and other wishes to the extent
known to the conservator." The term "individual health care
instructions" is defined in § 4623 and, although § 2355 does not
incorporate this particular section of the Health Decisions Act by reference
(unlike its sister sections 4615 and 4617), this definition is nevertheless
sensible and useful: "'Individual health care instruction'... means a
patient's written or oral direction concerning a health care decision for the
patient." Thus, this language means that if the patient has given (more or
less) specific directions--whether in a formal written manner or the less
formal oral manner-- about what medical treatment he does or does not want, the
conservator should follow them as they apply to the clinical situation at hand.
If this type of quite specific information
about what medical treatment and health outcomes the person would or would not
want is unavailable to the conservator, then § 2355 directs her to make medical
decisions in accordance with "other wishes" of the conservatee known to
the conservator. This term *18 must (to be meaningful, and all words in
a statute should be so interpreted) refer to less specific wishes, values, and
concerns that the patient had which are reasonably
pertinent to the medical treatment decisions at hand. The statute is
directing--and authorizing--the conservator to make a medical decision on
behalf of the patient that is as informed and structured as it can be by the
patient's own individual preferences, likes, dislikes, values, plans, and hopes.
Finally,if the conservator either does not or
cannot know anything pertinent about the patient's own specific directions or
generally applicable wishes about medical treatment, the statute directs her to
"make the decision in accordance with the conservator's determination of
the conservatee's best interest." Even when using this less subjective
standard [FN14] to figure out the patient's best interests, the conservator is
still required to "consider the conservatee's personal values to the
extent known to the conservator."
FN14. "Subjective" here means specific to the
patient's individual personal (indeed, idiosyncratic) values, wishes, fears,
and preferences.
2. Legislative Purpose and State Interests
The Legislature's purposes behind its enactment
of § 2355 are not hard to grasp. The Constitution, [FN15] statutory [FN16] and
case law [FN17] gives California citizens a right to reject (or accept) medical
treatment for their own reasons and in light of their
personal values, wishes, fears, preferences, and life plans. § 2355 is the
Legislature's mechanism for preserving this right for all incompetent adults by
authorizing a judicially appointed conservator to exercise this right
individually on their behalf.
FN15. Thor v. Superior Court (1993) 5 Cal.4th 725.
FN16. The Health Care Decisions Act, § 4600-4805.
FN17. Barber, supra; Bouvia v. Superior Court (1986) 179 Cal.App.3d 1127; Bartling v. Superior Court (1984) 163 Cal.App.3d 186.
*19 § 2355 is the Legislature's
embodiment of respect for the individual person and the values, wishes, and
plans that constitute his identity. This statute, then, is just a different
manifestation of the very same respect for the individual that formed the foundation
of this Court's ruling in Thor v. Superior Court (1993) 5 Cal.4th 725 pertaining to competent adults. Because
we should respect a person as an individual with his own interests, his own
embodied life, and his own point of view on the relative risks and benefits of
medical treatment as well as on the desirability of the practical outcomes of such treatment, we recognize that each individual
possesses "the right...to possession of his own person, free from all
restraint or interference of others," the "right to be let
alone," the right "in the exercise of control over his own body, to
determine whether or not to submit to lawful medical treatment." (Id. at 731). In our state, the right to refuse medical treatment is
"basic and fundamental" and protected by the Constitution from
unjustified state interference.
While incompetent adults [FN18] cannot
exercise their own right to refuse treatment and while it is inaccurate and
indeed illogical to claim that a conservator is exercising the patient's
autonomy or self-determination, it remains nonetheless true that the
incompetent deserve individualized decision making to be made on their behalf
by another. The Drabick court grasped this fundamental point about the moral
value of individual human subjects and eloquently elucidated it.
FN18. The analysis offered in this brief is intended to
apply only to formerly competent adults, like Robert, who had their own values,
plans, and preferences before becoming incompetent. Different, though surely
related, concepts would be needed to explicate the meaning of the § 2355
standards if the conservatee were a never competent adult. As this case does not present such a factual situation, the Court need
not address these other concepts.
In William Drabick's case, we must frankly
acknowledge that his non-cognitive state prevents him from choosing anything.
Thus, to claim that his "right to choose" survives incompetenceis a
legal fiction at best. *20 While William's condition may prevent
conscious choice, however, it does not by any means follow that he has no
protected, fundamental interest in the medical treatment decisions that affect
him. (Id. at 208.) (footnote omitted)
Mr. Wendland is in a similar circumstance: he
cannot decide anything for himself, he cannot exercise any personal "right
to choose," yet he retains a constitutionally protected, statutorily
recognized, [FN19] fundamental interest in the outcome of the medical decision
made on his behalf by his conservator.
FN19. The Legislature has decreed that persons with
developmental disabilities "have the same legal rights and
responsibilities guaranteed all other individuals by the United States
Constitution and laws and the Constitution and laws of the State of
California." (Welfare & Institutions Code § 4502) (emphasis added)
While Mr. Wendland was not disabled prior to his eighteenth birthday and
therefore is not technically "developmentally disabled,"
the Legislature's main point must still apply to him: as an individual worthy
of our respect and possessing dignity, a disabled person such as Mr. Wendland
has the same fundamental legal rights as the mentally competent.
Mr. Wendland and each disabled person who is
precluded from making his own decision about his medical fate deserves someone
"to speak for him [and decide] that [use of medical technology] is the
best or wisest course." (Id.) This must be so because all persons deserve
the full moral respect due to individual human beings. No person should be
treated like an object of medical technology. No person should receive
treatment simply because it is possible and in spite of its possible lack of
benefit, its risks and side-effects for that person. No incompetent person
should receive treatment simply because some stranger embraces an ideology or a
cause that considers treatment mandatory under all circumstances because the
preservation of biological life is mandatory in all cases.
The Drabick court [FN20] deftly understood
the moral and legal foundation of *21 the previous version of § 2355;
its reasoning applies with even greater force and effect to the present
version.
FN20. As right Drabick is on many key
issues in this case, it was flat-out wrong to limit the applicability of §
2355, of its statutory analysis, and of its constitutional insights to
permanently unconscious conservatees as these limitations ignore the plain
language of the statute as well as logic.
Under California law..., human beings are
not the passive subjects of medical technology. The line of decisions beginning
with Cobbs v. Grant and continuing with Barber, Bartling, and Bouvia compel
this conclusion [FN21]. These cases recognize that medical care decisions must
be guided by the individual patient's interests and values. Allowing persons to
determine their own medical treatment is an important way in which society
respects persons as individuals. Moreover, the respect due to persons as
individuals does not diminish simply because they have become incapable of
participating in treatment decisions. While William's coma precludes his
participation, it is still possible for others to make a decision that reflects
his interests more closely than would a purely technological decision to do
whatever is possible. Lacking the ability to decide, he has a right to a
decision that takes his interests into account. (Id.) (emphasis added)
FN21. Thor and Morrison are plainly in
this same tradition as well.
In sum, the people of this state, through
their democratically elected representatives, have created § 2355 as a means of
maintaining the dignity and respect owed to each person who no longer able to
decide his own medical fate by requiring that his conservator, his surrogate,
[FN22] make a good faith, medically informed decision that is consistent with a
reasonable conception of his best interests. § 2355 preserves and protects the
incompetent individual's rights, interests, and dignity.
FN22. "Surrogate" comes from the Latin
"sur" and "rogare" meaning "to ask near." When we
cannot ask the man himself whether he wants to be maintained by medical
treatment which involves intrusion into and restraint of his body, we should
ask someone personally near to him to make that decision on his behalf that
takes his individual values, interests, and circumstances into account.
Some might object that only the person
himself can make the fateful *22 decision to refuse treatment and allow
himself to die naturally, that a surrogate should not be permitted to make such
a decision. For example, this is the rule that the
Missouri Supreme Court adopted and that the U.S. Supreme Court reviewed in
Cruzan. "'[N]o person can assume that choice for an incompetent in the
absence of the formalities required under Missouri's Living Will statutes or
the clear and convincing, inherently reliable evidence [of her own prior
refusal of treatment] absent here."D' (497 U.S. at 269.)
But our Legislature has made a different,
though constitutionally proper (as explained below) choice: the people have
decided that surrogate decision making by a judicially appointed conservator
that satisfies certain standards is better than tethering a person to medical
treatment he may not have wanted, or that may not serve his best interests, or
that may cause him physical pain or moral indignity, for years, even decades.
The Legislature recognized that "[f] ew individuals provide explicit oral
or written instructions regarding their intent to refuse medical treatment
should they become incompetent" (Id. at 289, O'Connor, J., concurring) and choose to create another
option via § 2355.
Another objection to the Legislature's choice
of authorizing conservators to make medical decisions for the incompetent--and
one repeatedly voiced by Florence--is that it fails to protect the
conservatee's "right to life" and the state's interest in preserving
life. But the state does not have an "interest "" in preserving
the life of every human being simplicter. The Drabick court rightly grasped
this point as well. [T]o speak of the state's interest in preserving life is really
to miss the point. To put it more precisely, the state has an interest in
protecting William's right to have appropriate medical treatment decisions made
on his behalf. The problem is not to preserve life under all circumstances but
to make the right decisions. A conclusive presumption in favor of continuing
treatment impermissibly burdens a person's right to make the other choice. (200 Cal.App.3d at 209.)
The state does have a general interest in the
preservation of human life, but the *23 fundamental value of individual
choice and dignity must be evaluated along with this interest. "[T]he
state has not embraced an unqualified or undifferentiated policy of preserving
life at the expense of personal autonomy." (Thor, 5 Cal.4th at 740.) In other words, decisions to forgo
life-sustaining medical treatment simultaneously implicate two fundamental
rights and interests: the patient's right to life/the state's interest in
preserving life AND the competent patient's right to choose his own medical
fate/the incompetent patient's right and interest to have appropriate medical
decisions made on his behalf by another.
§ 2355 acknowledges both of these rights and
interests and leaves their resolution to a judicially appointed conservator. It
puts this decision, this balancing of important personal rights and interests,
in the hands of a private agent, not the state. This
statute gives the incompetent a way to have their rights exercised on their
behalf that would otherwise be lost. The entirety of this analysis should be
construed as grounding a compelling state interest in having medical decisions
made on behalf of the incompetent by a person who faithfully honors his
individual, personal instructions, wishes, values, and best interests.
3. § 2355 Does Not Violate Robert's Right to
Substantive Due Process.
Although her arguments are difficult to
decipher, apparently Florence is claiming that Robert's right to substantive
due process is violated by § 2355 in two ways: (1) the statute's standards
governing medical decision making by conservators constitute so low a set of
substantive safeguards that the rights of conservatees to life and liberty are
unconstitutionally jeopardized; and (2) the term "medical advice" in
the statute is unconstitutionally vague. With respect to the first claim,
Florence specifically criticizes § 2355 for unconstitutionally (a) ignoring or
subordinating Robert's best interests by merely requiring a conservator to show
that her medical decisions were made in good faith, not that they comport with
the conservatee's "actual best interests," and (b) *24
depriving the conservatee of his right to life.
I. Cruzan and Due Process
Florence cites Cruzan in her effort to
advance her due process challenge, though in actuality
it offers her no support whatsoever. Nevertheless, as it is the only Supreme
Court case that discusses the so-called "right to die" and the
constitutionality of state imposed standards for surrogate medical decision
making for the incompetent, it deserves our attention.
In Cruzan, the parents and judicially
appointed guardians of their permanently unconscious daughter wanted to
discontinue her medically provided nutrition and hydration and allow her to die
naturally as a result of her injuries. The Missouri Supreme Court denied them
that authority. The parents claimed that Nancy's due process right [FN23] to
refuse treatment was impermissibly infringed by the standards for surrogate
medical decision making imposed by that court when it
FN23. The parents also claimed, unsuccessfully, that they,
as close family members, had a constitutional right to have their judgment
about medical treatment honored by the state, even in the absence of
substantial proof that their views reflected the personal views of the patient.
(497 U.S. at 285-86.) Rose asserts no such right in this
litigation and his no need to.
rejected the argument that Cruzan's parents
were entitled to order the termination of her medical
treatment, concluding that 'no person can assume that choice for an incompetent
in the absence of the formalities required under Missouri's Living Will
statutes or the clear and convincing, inherently reliable evidence [of her own
refusal of treatment] absent here."D' (497 U.S. at 268-69.)
In other words, by requiring that the patient
herself make the decision to refuse treatment in advance of becoming
incompetent and denying that authority to her parents/guardians, they claimed
that Missouri violated Nancy's due process liberty interest in refusing medical
treatment by setting too high a standard for medical decision making on behalf
of incompetents. The High Court noted *25 that "the question is
simply and starkly whether the United States Constitution prohibits Missouri
from choosing the rule of decision which it did." (Id. at 277.)
Florence's due process attack on § 2355 is
the converse of the one leveled by the parents of Nancy Cruzan and rejected by
the Supreme Court: she alleges that our statute sets too low a standard for
medical decision making on behalf of incompetents. The Supreme Court's decision
in Cruzan rejects both challenges. The sole question before the Court was
whether the Missouri Supreme Court's requirement that "evidence of the
incompetent's wishes as to the withdrawal of [[life-sustaining medical] treatment
be proved by clear and convincing evidence" was
permitted by the U.S. Constitution. (Id. at 280.) The Court held that "a State may apply a clear and
convincing evidence standard in proceedings where a guardian seeks to
discontinue nutrition and hydration of a person diagnosed to be in a persistent
vegetative state." (Id. at 284; emphasis added.) In other words, a State
may require clear and convincing evidence of an incompetent's prior wishes
before a surrogate (such as a guardian or conservator) may direct
discontinuation of medical treatment of that person, but the State is not
constitutionally compelled to do so. [FN24]
FN24. In Addington v. Texas (1979) 441 U.S. 418 and Stantosky v. Kramer (1982) 455 U.S. 745, the High Court imposed a clear and
convincing evidence standard as a constitutional minimum that applied to all
similar state action, something it obviously refused to do in Cruzan.
The meaning of the Court's holding is clear
and indisputable for several reasons. First, nowhere does Chief Justice
Rehnquist's majority opinion state that this evidentiary standard is required
by the Constitution for medical decisions made on behalf of incompetents.
Second, in its survey of case law relevant to the constitutional issue before
it, the majority opinion cites the holding of Drabick: "the court held
that a state probate statute [§ 2355] authorized the
patient's conservator to order the withdrawal of life-sustaining *26
treatment when such a decision was made in good faith based on medical advice
and the conservatee's best interests." (497 U.S. at 275.) Being familiar with this case, the
High Court certainly must have been aware that Drabick expressly rejected use
of the clear and convincing evidence standard.
Finally, and most importantly, Justice
O'Connor's concurring opinion in Cruzan [FN25] confirms both the limited
constitutional scope of the majority's decision and Rose's argument that it
does not invalidate California's approach to the issue as embodied in § 2355.
FN25. Justice O'Connor provided the fifth vote to make a
majority for the Chief Justice's opinion. Four dissenting judges would have
used the Constitution to strike down the clear and convincing evidence standard
as mandated by the Missouri Supreme Court. There is no need to reach the
question of whether the California Constitution would mandate a different
result.
Today's decision, holding only that the
Constitution permits a State to require clear and convincing evidence of Nancy
Cruzan's desire to have artificial hydration and nutrition withdrawn,...does
[not] prevent States from developing other approaches
for protecting an incompetent individual's liberty interest in refusing medical
treatment. As is evident from the Court's survey of state court decisions...,
no national consensus has yet emerged on the best solution for this difficult
and sensitive problem. Today we decide only that one State's practice does not
violate the Constitution; the more challenging task of crafting appropriate
procedures for safe-guarding incompetents' liberty interests is entrusted to
the "laboratory" of the States.... (497 U.S. at 292; emphasis added; citations omitted.)
Cruzan's holding that a one state's standards
for medical decision making for incompetents (which is admittedly quite
different from California's) is constitutionally permissible does not--indeed
cannot--mean that such a standard is constitutionally required. [FN26] The
Federal Constitution permits California to *27 use the standards embodied
in § 2355 as an "approach for protecting an incompetent individual's
liberty interest in refusing medical treatment." Nothing in Cruzan
commands a different result.
FN26. The Court rejected such reasoning explicitly.
"[P]etitioners would seek to turn a decision which allowed a State to rely
on family decisionmaking into a constitutional requirement that the State
recognize such decisionmaking. But constitutional law does not work that
way." (Id. at 286; emphasis added.) By parity of reasoning, Florence cannot
legitimately argue that a decision which allowed a State to rely on the
patient's own decision must be turned into a constitutional requirement that
the State recognize only that form of decisionmaking.
II. The Best Interests Objection
A more specific analysis of Florence's due
process challenge is in order now. Specifically, Florence alleges that § 2355
unconstitutionally ignores or subordinates Robert's best interests by merely
requiring a conservator to show merely that her medical decisions were made in
good faith, not that they comport with the conservatee's "actual best
interests." (RB at 19, 21, 25, 28.) This allegation is groundless for
several reasons. First, it should be clear from the exposition of the recently
amended § 2355 above that this statute expressly requires the conservator to
place the individual conservatee at the center of its her attention as she is
required to make medical decisions "in accordance with the conservatee's
individual health care instructions, if any, and other wishes to the extent
known to the conservator." If this fails, she is to "make the
decision in accordance with the conservator's determination of the
conservatee's best interest," and even when doing this, she "shall
consider the conservatee's personal values to the extent known to the
conservator."
The challenged
statute does direct the conservator to focus on the individual conservatee for
whom she is responsible and on his rights and interests. Florence's assault on
this law is really premised on the unarticulated assumption that a
conservatee's "actual best interests" mandate that he receive
treatment and be kept biologically alive. But this assumption cannot stand.
In right-to-die cases,...the courts have
generally concluded that medical *28 treatment does not always advance a
person's interests.... [T]he patient's best interest is implicitly determined
by reference to his or her own standards rather than external standards. A
parallel approach for incompetent patients best respects their dignity:
"To presume that the incompetent person must always be subjected to what
many rational and intelligent persons may decline is to downgrade the status of
the incompetent person by placing a lesser value on his intrinsic human worth
and vitality." (Meisel, The Right to Die, § 7.13, p. 400-01, citing Super. Of Bel. St. Sch. v. Saikewicz (1977) 370 N.E.2d
417, 428.)
The Legislature has decided that the better
policy is for a conservator to make an informed, good faith decision about
medical treatment, in accordance with the standards in § 2355, rather than have
conservatees always receive life- sustaining medical treatment or only not
receive it when they are terminally ill or permanently unconscious. [FN27]
FN27. Florence's assertions that § 2355 is unconstitutional
because its reach is not limited to the terminally ill or to permanently
unconscious is frivolous. (RB at 42-46.) The plain language of the statute
embraces all those who "ha[ve] been adjudicated to lack the capacity to
make health care decisions," and nothing in the Constitution requires the
Legislature to choose as Florence wishes it would. Florence is worried that the
non- terminally ill or non-unconscious patients are more subject to abuse by
conservators than other incompetents. This is a distinction that makes no
sense. If anything, conscious patients have a stronger interest in being rid of
nonbeneficial, intrusive, and possibly painful treatment. Michelle Mello, Death, Life, and Uncertainty: Allocating the Risk of
Error in the Decision to Terminate Life Support, 109 Yale L. J. 635-642 (1999).
Rose acknowledges that any decision by a
conservator to accept or reject a medical treatment on behalf of a conservatee
must be consistent with the latter's best interests. A fair interpretation of §
2355 is consistent with this conclusion and rescues it from any claim of
unconstitutionality like that advanced by Florence. Yet this is a conclusion
that needs explanation. However, as a threshold matter, Rose rejects the
enthymeme in Florence's argument that Robert's best
interests can only be served by keeping him *29 biologically alive in
his present condition because it begs the true question.
The term "best interests" as
applied to an incompetent individual does not, indeed logically cannot, have a
univocal or narrow meaning. This term refers to an all-things-considered
judgment about what course of action would: make primary the person's overall
well-being (Johnson v. Calvert (1993) 5 Cal.4th 84, 119 (Kennard, J., dissenting); protect the
individual's mental and physical health (American Academy of Pediatrics v. Lungren (1997) 16
Cal.4th 307, 378-381 (Kennard, J., concurring); and advance the individual's rights
and interests (Crystal R. v. Superior Court (1997) 59 Cal.App.4th
703, 718).
The best specific articulation of the legal
content that should be given to the notion of an incompetent patient's
"best interests" can be found in Barber v. Superior Court (1983) 147 Cal.App.3d 1006,
1021.
[T]he surrogate ought to be guided in his
decisions by the patient's best interests. Under this standard, such factors as
the relief of suffering, the preservation or restoration of functioning[,] and
the quality as well as the extent of life sustained may be considered. Finally,
since most people are concerned about the well-being of their loved ones, the
surrogate may take into account the impact of the decision on those people
closest to the patient. (citation omitted) It is clearly not in a person's best
interests to be in pain, suffering, or having other negative or unpleasant
experiences, unless such must be undergone in order to achieve a state of
health, happiness, or positive affect. States of affairs that bring satisfaction
to the individual, that create relationships with others, that include
communication with others are all consistent with a person's best interests.
Put differently, the individual's quality of life--his experience of love,
connection, satisfaction, happiness, meaning, and communication--is part and
parcel of his best interests. Finally, a person's best interests surely include
preservation and enhancement of his biological life itself and the extent of
time this life can be sustained.
The term "best interests" must be
interpreted by someone under the facts *30 and circumstances of each
individual case as it occurs in the lived world. In § 2355, our Legislature has
given this interpretative authority exclusively to the judicially appointed
conservator of an incompetent adult, [FN28] but not absolutely. Any decision by
a conservator on behalf of any conservatee must be based on a reasonable
conception of the conservatee's best interests. The concept of "best
interests" should not be understood as infinitely pliable or totally
discretionary and therefore unreviewable by a court, even though it is a term
often amenable to more than one fair and reasonable interpretation in any given
situation. These general principles are required not
only by statute [FN29] , but also by the well-settled rule of constitutional
adjudication in which the reviewing court "always presum[es] the
constitutional validity of legislative acts and resolv[es] doubts in favor of
the statute. (Amwest Surety Ins. Co. v. Wilson (1995) 11 Cal.4th
1243, 1252.)"
(Dawn D. v. Superior Court (1998) 17 Cal.4th 932, 939.)
FN28. "'Exclusive' means sole, excluding others from
participation, vested in one person alone." (Dept. of Soc. Serv. v. Sup.
Ct. (1997) 58 Cal.App.4th 721, 733.) Drabick correctly held that § 2355
"gives the conservator the exclusive authority to exercise the
conservatee's rights, and it is the conservator who must make the final
treatment decision.'' (200 Cal.App.3d at 211; emphasis added.)
FN29. Probate Code § 2101 specifies that "the
relationship...of conservator and conservatee is a fiduciary relationship that
is governed by the law of trusts....'' Conservators are always under a
fiduciary obligation to act in the best interests of the conservatee. (In re Sophia B. (1988) 203 Cal.App.3d 1436, 1440 (Woodworth, J., concurring.)
California statutes other than § 2355 grant
certain entities exclusive legal decision-making
authority as well, and their decisions have been held to be reviewable. For
example, in L.A. County. Dept. of Children and Family Services v.
Superior Court (1998) 62 Cal.App.4th 1, the County had statutory ""exclusive"
authority over the custody, control and supervision of a minor *31
referred for adoption, [FN30] yet a trial court overruled the County's decision
about placement. The Court of Appeal reversed.
FN30. Welfare & Institutions Code § 366.26(j); Family
Code § 8704.
Under the statutory scheme, [the County's]
discretion...is not unfettered. The juvenile court retains jurisdiction over
the minor to ensure the adoption is completed as expeditiously as possible and
to determine the "appropriateness of the placement....'' This does not
mean the court may substitute its judgment for that of [the County] because the
Legislature has given the agency exclusive custody and control of the minor and
the discretion to make placement decisions. Rather the court is limited to
reviewing whether [the County] abused its discretion.... Absent a showing that
[the County's] placement decision is patently absurd or unquestionably not in
the minor's best interests, the court may not interfere and disapprove of the
placement. (62 Cal.App.4th at 10; citations omitted.) This case
correctly affirms not only that the judiciary can review a decision that the
Legislature has given "exclusively" to someone else, but also that
such a decision cannot be arbitrary, capricious, or "unquestionably"
inconsistent with any reasonable determination of the incompetent person's best
interests.
Consequently, when the term "best
interests" as it governs a conservator's actions under § 2355 is
understood properly and interpreted in a manner that resolves possible constitutional
doubts, Florence's assertion that it violates Robert's constitutional
rights--whether to privacy, due process, or equal protection, shows itself to
be unpersuasive. To the contrary, § 2355 protects and preserves Robert's rights
to privacy and due process through the informed judgment of a surrogate.
III. The Right to Life Objection
The second argument of Florence's within her
allegation that § 2355 violates due process by setting too low a standard for
medical decision by conservators is that this statute improperly deprives
Robert, and all similarly situated conservatees, of the constitutionally
guaranteed right to life. More *32 specifically, she argues that a
conservatee's constitutionally guaranteed right to life must take at least
presumptive precedence in any legal mechanism that permits conservators (and
presumably relatives who have not been appointed
conservators as well) to refuse medical treatment that would (or could) keep
the conservatee biologically alive. (RB at 11, 16) They even go so far as to
assert that the state is required by the Constitution to require those
surrogates who would refuse life-sustaining treatment to prove to a court
beyond a reasonable doubt that such a decision is in the conservatee's best
interests. [FN31] (RB at 29-30.)
FN31. Florence cites no judicial authority to support her
right to life argument, and for good reason. It by and large does not exist,
almost surely because in its bare form it is unhelpful, even misleading, in
resolving refusal of treatment cases.
This line of reasoning has several fatal
flaws. One, § 2355 itself does not deprive conservatees of life in any
meaningful manner; it structures the appointment of conservators who make
medical decisions on behalf of incompetent adults and sets certain fair and
reasonable standards for such decision making. Two, the conservators who
sometimes make decisions to refuse life-sustaining medical treatment are not
state agents. Consequently, as argued above, their conduct is not regulated by
the Constitution.
Third, the decision by a surrogate to refuse
life-sustaining medical treatment is not even a
"deprivation of life" within the meaning of the Constitution in the
first place. Such a decision is not an intentional taking of life in the first
place; instead, it allows the patient's injury or disease to take its natural
course. (Matter of Guardianship of L.W. (1992) 482 N.W.2d 60,
66 (Wis.).)
[W]hen a patient refuses life-sustaining
medical treatment, he dies from an underlying fatal disease or pathology...
See, e.g.,...Matter of Conroy [[(1985) 486 A.2d 1209, 1226] (when feeding tube is removed, death
""results...from [the patient's] underlying medical
condition");...In re Colyer [(1983) 660 P.2d 738, 743] ("[D]eath which occurs after the
removal of life sustaining systems is from natural causes").... (*33Vacco v. Quill
(1997) 521 U.S. 793, 801.)
The distinction between letting a patient die
of his disease and intentionally making that patient die (or assisting in
suicide) is important, logical, rational, and well established (Id. at 800-801.)
This Court has also recognized...the
distinction between letting a patient die and making that patient die. In
Cruzan..., we concluded that "[t]he principle that a competent person has
a constitutionally protected liberty interest in refusing unwanted medical
treatment may be inferred from our prior decisions," and we assumed the
existence of such a right for purposes of that case....
[O]ur assumption of a right to refuse treatment was grounded...on well
established, traditional rights to bodily integrity and freedom from unwanted
touching, Cruzan, 497 U. S., at 278-279; id., at 287-288 (O'Connor, J., concurring). (Vacco, 521 U.S. at 807; citations omitted.)
The well established, traditional right to
refuse treatment is essentially the same one that a conservator exercises when
she refuses life-sustaining treatment. Rose's refusal of treatment will result
in Robert's natural death from an underlying pathological condition that has
devastated him.
Fourth, Florence's right to life argument
assumes this right is absolute, or at least always primary, and accordingly
utterly ignores the fact that incompetents simultaneously have basic
constitutional rights to having their instructions and values about health care
honored, to bodily integrity, and to respect for their individual well-being
and dignity--rights which demand that some conscientious, responsible person
make decisions on their behalf which take all of these rights into account and
balance them with compassion, integrity, and good faith adherence to what's
best for the individual patient. [FN32] It *34 is this need for the
balancing of the incompetent's rights, balancing his interests, and for the
exercise by a surrogate of personal judgment on his behalf that strongly
counsels keeping the State out of the decision making role. Indeed, the reason
for the Legislature's creation of conservatorship in
the first place is to keep these decisions in private hands.
FN32. "The law must often adjust the manner in which it
affords rights to those whose status renders them unable to exercise choice
freely and rationally. Children, the insane, and those who are irreversibly ill
with loss of brain function, for instance, all retain 'rights,' to be sure, but
often such rights are only meaningful as they are exercised by agents acting
with the best interests of their principals in mind." (Cruzan v. Director (1990) 497 U.S. 261, 309 (Brennan, J., dissenting, citing Thompson v. Oklahoma (1988) 487 U.S. 815, 825 n. 23 (emphasis in original).)
Finally, Florence's assumption about what the
right to life basically means is distorted. The word "life" in
"right to life," "interest in life," and
""sanctity of life" is ambiguous. The different meanings deserve
sorting out.
[W]hen we speak of "life", we may
be referring to living things, to things that are alive. To be alive is to be a
functioning biological organism. Here the contrast is with things that are
dead, or with things that are neither alive nor dead, such as rocks.... On the
other hand, when we speak of "life", we may have in mind a very
different sort of concept, one that belongs more to biography
than to biology. Human beings are not only alive; they have lives as well....
If the concept of life is ambiguous in this way, then so is the concept of the
sanctity of life. The doctrine of the sanctity of life can be understood as
placing value on things that are alive. But it can also be understood as
placing value on lives and on the interests that some creatures, including
ourselves, have in virtue of the fact that they are the subjects of lives. Very
different moral views will result, depending on which interpretation one
chooses. (James Rachels, The End of Life, 24-25 (1986); italics in original.)
Florence's right to life argument (and others
as well) uses "life" largely in the biological sense: Robert is
biologically alive and is conscious. [FN33] This use of *35
"life" can be easily seen when she argues that
FN33. Florence emphasizes that he has consciousness and
tries to mislead this Court into thinking he has more robust consciousness than
Robert actually possesses because she realizes that the less Robert is in fact
conscious, the more he is like a person in the permanent vegetative state who
has no biographical life whatsoever--no past or future, no feeling, no emotion,
no experience, no relationships, no awareness, no love. Termination of
medically provided nutrition and hydration for the permanently
unconscious is no longer legally controversial.
the exercise of the right to refuse
life-sustaining treatment must be closely scrutinized and narrowly interpreted
because...an individual choosing to die by starvation and dehydration rejects
life itself. (RB at 15; emphasis in original.)
But this is only part of the story of
"life"for human beings, and not the most important part in the last
analysis. The biographical sense of "life" refers to all those
thoughts, hopes, projects, plans, activities, dreams, and relationships that enable
each of us to have a life that is ours, that we cherish and look forward to
keeping our own.
The Constitution protects this concept of
human life as well because what it includes really makes us who we are as
individuals; it is what matters most to nearly everyone about our life. The
California Constitution captures this dimension of human life when it states
"All people...have inalienable rights. Among these are enjoying and
defending life,...and pursuing and obtaining safety, happiness, and
privacy." (Art. 1, § 1.) This is also why "quality of life"
matters and why Barber and other courts have included it as a key component of
the "best interests" of incompetent patients. Any reasonable
conception of best interests, any honest decision about whether a medical treatment will benefit or harm someone must take the
individual's biographical life into account as well as his biological life, and
so should the constitutional decision of this Court.
IV. The Vagueness Objection
Florence's argument that § 2355 fails to
satisfy due process requirements because of the vagueness of one of its terms,
"medical advice," is worthy of only brief response.
The challenged terms must be considered in
the context of the statute's purpose.... If a reasonable and practical
construction can be given to the language of a statute or its terms made
reasonable certain by reference to *36 other definable sources, it will
not be held void [for vagueness]. (People v. Hsu (2000) 2000 Daily Journal D.A.R. 8607, 8611; citations omitted.)
A reasonable and practical construction of
the term "medical advice" in the context of this statute is hardly
elusive. First, it means that the conservator's decision either for or against
medical treatment of her conservatee should be informed by expert medical
opinion. Conservatorship of Morrison (1988) 206 Cal.App.3d 304, 310 has rightly interpreted this term
to require the conservator to seek and obtain medical advice in order "to
obtain information enabling the conservator to formulate a judgment about what
is in the patient's best interests." [FN34] In
other words, the conservator must obtain medical information about the
patient's diagnosis, degree of consciousness, level of human functioning and
personal interaction, ability to experience pain and pleasure, the expected
burdens and benefits of proposed medical treatment, and, of course,
prognosis--what the future probably holds for this patient. Plainly, a
conservator should be familiar with the medical facts before deciding about
treatment.
FN34. Morrison also rightly ruled that the § 2355's
requirement of medical advice "cannot...reasonably be construed as
demanding adherence to a physician's opinion on the ultimate decision" of
providing, withholding, or withdrawing life-sustaining medical treatment:
"Otherwise, the conservator's right to refuse medical treatment on behalf
of the conservatee would be meaningless. If a patient has the right to reject a
physician's recommendation, so must the patient's conservator under the
reasoning of Drabick.'' (Id.) (emphasis added) "Whether the benefits of
treatment outweigh its detriments is a decision that engages personal and
medical values, including ideas about the quality of life." (Id. at 196)
The Legislature has given these decisions about "personal and medical
values" to conservators, not physicians, strangers, lawyers, or judges.
Second, conservators should obtain the
medical expert's advice about the advisability of utilizing treatment under the
circumstances of the particular case. Does the physician recommend this
treatment or that one? Does he think further treatment is inadvisable as
unlikely to medically benefit the patient? *37 Does the treatment hold
some promise of benefit but also pose serious risks? Therefore, getting
"medical advice" means obtaining expert medical opinion on the
science of the case and on the art of using the science wisely.
There is nothing vague about any of this. The
requirement that a conservator like Rose obtain medical advice is reasonable,
sound, and obviously advances the Legislature's purpose of having conservators
make informed and factually grounded decisions about medical treatment.
Florence's concern (RB at 34) that a conservator might consult only with a
"rogue" physician (or perhaps a witch doctor or psychic healer) and
then decide to stop life-sustaining medical treatment is bizarre, purely
hypothetical, and has no constitutional import. The presumption must be that a
conservator will consult with a responsible medical expert and that the expert
will provide the conservator with responsible advice about the medical facts
and values of the treatment decision at hand. In this case, Rose did in fact
obtain the advice of a plethora of qualified medical experts. [FN35]
FN35. She consulted with three local physicians about her
husband's situation (two of whom directly attended her husband), Drs. Kass,
Kobrin, and Belogorsky. Drs. Kass and Belogorsky agreed with her decision to
discontinue his medically provided nutrition and hydration. Later she had the
benefit of the medical advice of Dr. Ronald Cranford, a nationally prominent
neurologist and bioethicist, as well as the expert medical rehabilitation
specialist and neuropsychologist selected by her husband's court-appointed
lawyer, respectively, Drs. Sundance and Bryant.
The requirement of § 2355 that a conservator
obtain medical advice is also a check on the exercise of her medical decision
making authority. Assume a conservator decides to refuse a treatment with the
knowledge that the attending physician had strongly recommended it as clearly
medically indicated and greatly beneficial to the patient. An ethically
conscientious physician would refuse to honor such a decision and call for
further review of the dispute, perhaps by another physician, an institutional
ethics committee, or the superior *38 court supervising the conservator.
Thus the professional ethics of the conservatee's physician giving the medical
advice serves as a check on abusive or clearly unreasonable decisions by a
conservator. Furthermore, a conservator's good faith
would surely be called into question (though not necessarily disproved) if she
insisted on imposing or refusing a treatment when one or more physicians
refused to honor her decision.
4. § 2355 Does Not Violate Robert's Right to
Procedural Due Process.
Florence's procedural due process challenge
(RB at 11) is hard to identify and understand, but its obscurity really does
not matter as any such challenge runs directly counter to fundamental
constitutional principles. First, as argued supra, because conservators like
Rose are not state agents, their activities are not subject to procedural due
process requirements. Second, the state action at issue in this case, § 2355,
plainly satisfies due process requirements. A judicial declaration of incompetence
must be proved by clear and convincing evidence (§ 1801). A conservator can be
appointed only by the superior court only after a hearing and notice to
affected parties (§ 1812, 1822), review by a court investigator (§ 1826), and
with possible opposition by interested parties (§ 1829). Provision is made for
appointment of legal counsel for the conservatee (§ 1470-72). All of these
procedures and the others that attend conservatorship are reasonable and fair
to all of the private and State interests involved.
E. § 2355 Does Not Violate Robert's Right to
Equal Protection.
Florence's Byzantine equal protection
challenge to § 2355 (RB at 23-30) seems to boil down to
two claims: (1) the statute does not adequately protect the best interests of
conservatees while other Probate Code provisions governing incompetents do
offer constitutionally adequate protection for the conservatees' best
interests; and (2) In re Valerie N. (1982) 40 Cal.3d 143 and the statutory scheme for regulating
the permanent surgical sterilization of the developmentally disabled (§ 1950 et
seq.) require, as a matter of constitutional *39 law, that a
conservator's compliance with the § 2355 standards be proved beyond a
reasonable doubt (RB at 30) and counsel be appointed for the conservatee who
will oppose any decision by a conservator to refuse life-sustaining treatment
(RB at 28-29). As Rose has already extensively discussed the constitutional
challenge related to the conservatee's best interests supra, she turns only to
the second argument here.
First, Valerie N. does not hold that the
Constitution requires conservators to prove beyond a reasonable doubt that
certain justificatory criteria have been met before they can consent to the
sterilization of their developmentally disabled conservatees. It held that the
Constitution forbids the State from unconditionally barring the sterilization
of the developmentally disabled because it deprived them of the choice not to
procreate made by a surrogate, a choice that is protected by the Constitution.
We do not doubt that it is within the police
power of the state to enact legislation designed to
protect the liberties of its residents. The inquiry does not end there,
however, since the means selected are not simply protective of a liberty
interest, but restrict the exercise of other fundamental rights by or on behalf
of the incompetent." (Id. at 164.)
This Court invited the Legislature "to
establish criteria and procedural protections governing these applications [for
sterilization]'' (Id. at 168) which it did with the enactment of § 1950 et seq..
The Legislature chose to require the
conservator to prove the criteria beyond a reasonable doubt and, as far as we
know, this is a constitutionally permissible choice. But nothing in Valerie N., Conservatorship of Angela D. (1999) 70
Cal.App.4th 1410,
or any other case even suggests, much less holds, that this standard is
constitutionally required. Florence's arguments contains the same fallacy of
constitutional reasoning mentioned in Cruzan, supra:
[Florence] would seek to turn a decision
which allowed a State to [set a higher evidentiary standard of proof] into a
constitutional requirement that the State [set that standard]. But
constitutional law does not work that way. (497 U.S. at 286.)
*40 As Florence has neither made a
showing nor provided any authority that the Constitution requires the use of
the beyond a reasonable doubt standard or the use of counsel who has a mandated
agenda, her challenge fails. The bare fact that the
Legislature uses one set of procedures in one context does not mean that the
Constitution requires it to use similar ones elsewhere, even if both involve
the same identifiable class of persons.
Finally, it is worth noting that the
Legislature is entitled to decide that different policy considerations are
applicable to a conservator's sterilization decisions than to decisions about
medical treatment. One that leaps immediately to mind is the long history of
documented abuse of the sterilization of the mentally disabled. [FN36] The
Legislature plainly has no such concern about the abuse of medical decision
making authority of conservators that would lead it exercise its authority to
impose stricter standards on the use of § 2355 authority. Florence's opinion
that this policy determination is "incredibly naive" and will lead to
"a pattern of abuse [that will be] documented through conservatees'
gravestones" (RB at 30) is rhetoric better addressed to the Legislature
than to this Court. Her opinion about this policy is not only constitutionally
irrelevant, but even lacks any factual support that she can cite.
FN36. "As the majority mentions, and the Chief
Justice's dissent emphasizes, the history of sterilization of mentally
incompetent persons is not one of which we should be proud." (Valerie N., 40 Cal.3d at 171; Lucas, J.,
concurring and dissenting.) "The majority opinion opens the door to
abusive sterilization practices which will serve the convenience of
conservators, parents, and service providers rather than incompetent
conservatees. The ugly history of sterilization abuse against developmentally
disabled persons in the name of seemingly enlightened social policies counsels
a different choice." (Id. at 175, Bird, C.J., dissenting.)
F. § 2355 constitutes a measured, reasonable,
and constitutionally permissible legislative response to the practical
necessity of medical *41 decision making for incompetent adults.
Florence asserts that there is "no
precedent" for § 2355 (RB at 35) and that it is a "highly unusual and
unorthodox statute" (RB at 18), offers two out-of- state cases as
espousing better policy than § 2355, and finally argues that these are good
reasons for this Court to strike it down as either as bad policy,
unconstitutional, or both. The first assertion is just factually false, the
second is irrelevant, and the conclusion nothing short of preposterous.
A quick and immediate refutation of the first
assertion can be found in the Uniform Health-Care Decisions Act (the Act) which
was approved by the National Conference of Commissioners on Uniform State Laws
in 1993, subsequently approved by the American Bar
Association, the ABA Commission on Legal Problems of the Elderly, and the
American Association for Retired Persons, and later adopted by six states.
[FN37] First, the Act expressly includes "directions to provide, withhold,
or withdraw artificial nutrition and hydration and all other forms of health
care" in its definition of "health-care decisions" that can be
made by guardians, just like § 2355. (§ 1(6).) Second, the Act requires
guardians to comply with the ward's instructions about health care, like §
2355. (§ 6(a).) Third, § 2355 tracks the Act's language about how a surrogate
should decide.
FN37. Alabama (§ 22-8A-1 et seq.), Delaware (Title 16, §
2501 et seq.), Hawaii (Ch. 327E-1 et seq.), Maine (Title 18-A, § 5-801 et seq.),
Mississippi (§ 41-41-201 et seq.), and New Mexico (§ 24-7A-1 et seq.) are the
six states adopting the Uniform Code according to the official website of the
National Conference (www.nccusl.org).
The Act requires an agent or surrogate
authorized to make health-care decisions for an individual to make those
decisions in accordance with the instructions and other wishes of the
individual to the extent known. Otherwise, the agent or surrogate must make
those decisions in accordance with the best interest of the individual but in
light of the individual's personal values known to the
agent or surrogate. (Prefatory *42 Note, p. 2)
Finally, the Act endorses our Legislature's
policy of having relatives make such decisions and not courts [FN38] and
observes that "a majority of states have statutes allowing family members,
and in some cases close friends, to make health-care decisions for adult
individuals who lack capacity." (Prefatory Note, p. 1)
FN38. "Courts have no particular expertise with respect
to health-care decision making. Moreover, the delay attendant upon seeking
court approval may undermine the effectiveness of the decision ultimately made,
particularly but not only when the patient's condition is life-threatening and
immediate decisions concerning treatment need to be made. Decisions should
whenever possible be made by a patient, or the patient's guardian, agent, or
surrogate in consultation with the patient's health-care providers without
outside interference." (Comment § 6.)
In sum, there is nothing radical,
unprecedented, or ethically suspect about the basic structure of § 2355. While
not every state adopts an approach to medical decision making for incompetent
adults similar to that of California, many do. [FN39] It is not likely that all
these states have enacted obviously unconstitutional
statutes.
FN39. See, e.g., Arizona Rev. Stat. § 36-3203(C) (in the
absence of a patient's health care directive or knowledge of the patient's
values that would provide a sufficient basis for making a health care decision,
"the surrogate shall decide based on the surrogate's good faith belief as
to what is in the patient's best interest"); § 36-3231(A) (guardian
appointed by court to make health care decisions a "surrogate"); §
36-3203(D) (court shall base a finding of absence of good faith on information
known to the surrogate and "shall enter its finding only after it has made
a determination of bad faith in written findings of fact based on clear and
convincing evidence of improper motive").
Florence also urges this Court to adopt the
policy embodied in decisions by two courts in other states, In re Martin and In
the Matter of Edna M.F.. (RB at 36-42) As neither of these states had a statute
like § 2355 and neither of *43 these decisions considered the
constitutionality of such a statute, whatever policy these courts adopted is
irrelevant to this case. Moreover, no California court can ignore the plain
language of an applicable California statute or refuse to enforce the policy
that statute embodies because a foreign jurisdiction
has a different way of handling the same subject.
In addition, it is more than noteworthy that
in all four of the states [FN40] that have required required the patient to
make a specific refusal of the treatment in question himself before losing
mental capacity and required his family to prove that he made this decision by
clear and convincing evidence, this policy choice was made by the judicial
branch and not the legislative branch. These are all examples of inappropriate
judicial activism as this kind of policy choice belongs to the legislature.
"If specific procedural rules are to be adopted in this area in order to
protect the public interest, they must necessarily come from that body most
suited for the collection of data and the reaching of a consensus--the
legislature." (Barber, 147 Cal.App.3d at 1018; emphasis added.)
FN40. Cruzan v. Harmon (Mo. 1989) 760 S.W.2d 408; In re Westchester Cty. Med. Ctr. (1988) 72 N.Y.2d 517,
531 N.E.2d 607;
In re Martin; In the Matter of Edna M.F..
It worth recalling Justice Arabian's words
from Johnson v. Calvert with respect to the legislative and judicial functions
in this regard. He took many of them from the right to die jurisprudence and
applied them to the new reproductive technologies. We
suggest putting them back into their original context. His counsel is wise: §
2355 ought to be left as is.
...I do not think it wise for this court to
venture unnecessarily into terrain more appropriately cleared by the
Legislature in the first instance. In this regard, the Florida Supreme Court
made the following pertinent observations...: "Because the issue with all
its ramifications is fraught with complexity and encompasses the interests of
the law, both civil and criminal, medical ethics and social morality, it is not
one which is *44 well-suited for resolution in an adversary judicial
proceeding. It is the type [of] issue which is more suitably addressed in the
legislative forum, where fact finding can be less confined and the viewpoints of
all interested institutions and disciplines can be presented and synthesized.
In this manner only can the subject be dealt with comprehensively and the
interests of all institutions and individuals be properly accommodated."
(Satz v. Perlmutter (Fla. 1980) 379 So.2d 359, 360, affg. (Fla.Dist.Ct.App. 1978) 362 So.2d 160.) The New Jersey Supreme Court echoed similar cautionary
tones in Matter of Conroy (1985) 98 N.J. 321...: ""As an elected body, the
Legislature is better able than any other single institution to reflect the
social values at stake. In addition, it has the resources and ability to
synthesize vast quantities of data and opinions from a variety of fields and to
formulate general guidelines that may be applicable to
a broad range of situations." (Id., 486 A.2d at pp. 1220- 1221; accord, Matter of Guardianship of Hamlin (1984) 102 Wn.2d 810,
821- 822....)
Clearly, this court should not avoid proper resolution of the issue before it.
"[T]he law, equity and justice must not themselves quail and be helpless
in the face of modern technological marvels presenting questions hitherto
unthought of." (In re Quinlan (1976) 70 N.J. 10, 44..., cert. den. sub nom. Garger v. New Jersey, 429 U.S. 922....) Nevertheless, I would not move
beyond the available legal mechanism into such socially and morally uncharted
waters. (5 Cal.4th at 102; Arabian, J., concurring; parallel
citations omitted.)
G. In Light of the Amendments to § 2355
Effective July 1, 2000 and the Factual Findings of the Superior Court, This
Court Should End This Litigation as a Matter of Law.
§ 2355 as recently amended expressly gives
Rose the legal authority to withdraw medically provided nutrition and hydration
from Robert. The trial court's order denying her this authority is clearly in
error. As this statute is manifestly constitutional on its face and as applied,
the only remaining legal question about this appeal is whether Rose has
satisfied the § 2355 standards for medical decision making so that this
litigation--and the vindication of Robert's rights--might be finally resolved.
If this Court does not resolve this litigation,
Florence--and the vitalist zealots who support her position--will *45
continue to pursue court proceedings as long as they can, because delay is
victory to them. Delay keeps Robert biologically alive.
First, the trial court unequivocally and
expressly found that Mrs. Wendland's decision to discontinue the use of her
husband's feeding tube satisfies the standards established by § 2355 as
amended.
Evidence was presented which clearly and
convincingly shows that the decision made by conservator in July of 1995 [not
to reinsert conservatee's feeding tube] was done in good faith, based on
medical advice and after consideration of conservatee's best interests,
including his likely wishes, based on his previous statements. (Robert's and
Rose's Joint Appendix on Appeal 623 (JA); emphasis added; square brackets in
original)
The trial court also found that
Evidence clearly shows that Rose deeply
loves Robert and has consistently sought only what she believes was best for
him and her family. There can be no doubt that her actions were motivated by a
desire to "do the right thing", to bring stability to the rest of the
family and closure in a way Robert would approve of. (JA 624; emphasis added)
and that "this court entertains a strong
suspicion that Robert would have desired to die under the circumstances....''
(Id.; emphasis added)
Robert might have
left no "individual health care instructions" as the term is used in
§ 2355, but he certainly had "other wishes" and "personal
values." These factual findings by the trial court demonstrate that Rose
took Robert's individual wishes and values into account and made a decision
that honored them as required by the new statute. The trial court's findings
also demonstrate that Rose satisfied the other § 2355 standards: she made her
decision "in good faith, based on medical advice" and "in
accordance with the conservator's determination of the conservatee's best
interest." The Court of Appeal correctly found that all of these findings
were supported by substantial evidence (78 Cal .App. 4th 544, n. 33) and so they are binding on appeal.
Consequently, even assuming the Court of
Appeal was right that Rose *46 bears the burden of producing evidence to
support her decision (Id. at 555), she has met this burden, even with the trier of fact
using a higher evidentiary standard (clear and convincing) than should apply.
Remand is not necessary for the purpose of the trial court determining whether
Rose has satisfied the requirements of § 2355 as amended as this would be
contrary to the interests of justice to Robert and his close family and a waste
of judicial resources. Moreover, this Court has the express authority to
determine these facts. (CCP § 909.)
The Court of Appeal ruled that Florence has,
in essence, an absolute "right to offer evidence
in support of his defense or in rebuttal," to put on her case- in-chief. (Id. at 560-61, citing CCP § 631.8.) But what is this
"case-in- chief" in these particular circumstances? First, with
respect to "medical advice," Florence has no case to make. Rose
utilized medical advice, and that's the end of this matter. Even if Florence
could produce the testimony of a physician (or a busload of physicians) who
disagreed with the advice of the physicians Rose consulted, it would be totally
irrelevant testimony.
Second, with respect to good faith and
Robert's global best interests per § 2101, Florence had a full and fair
opportunity of convincing the trial court that Rose was not acting in good
faith when she petitioned for removal of Rose as conservator and sought to have
her and Rebekah Vinson replace Rose, a petition filed after the court ruled
against Rose on her medical decision. (Appellants' Supplemental Joint Appendix
at 052-073.) When the trial court denied the petition (JA at 625), he had to be
finding that Rose was acting in good faith and in Robert's best interests for
he could not allow her to remain as conservator if she was acting in bad faith
or contrary to his best interests. On these issues Florence is barred from
further litigation by collateral estoppel. (Bernard v. Bank of America (1942) 19 Cal.2d 807, 813.)
Third, with respect to any issue of fact
decided by the trial court, Florence has waived any claim to offer additional
evidence on these issues *47 because she failed
to make an appropriate motion requesting reconsideration of the trial court's
findings. California Rules of Court 232(d) states that "[a]ny party
affected by the judgment may, within 15 days after the proposed statement of
decision and judgment have been served, serve and file objections to the
proposed statement of decision or judgment." (See CCP § 634) The reference
to ""any party" includes both the prevailing and losing party as
either may be ""affected by the judgment" depending upon its
content. Florence was affected by the trial court's statement because it
contained findings that satisfied the controlling statute's requirements and
vindicated Rose's legal position. [FN41] Florence had her opportunity to
formally inform the trial court that she had relevant evidence on these three
issues that it had not yet heard and that should change its findings, but she
did not do so. Consequently, she has waived her right to do so now. [FN42]
FN41. The law is well-settled that failure to object in a
timely manner under Rule 232(d) waives the right to do so later, with only legal
errors manifest in the text of the statement excepted. (In re Marriage of Arceneaux (1990) 51 Cal.3d 1130,
1132.) The party
who fails to object to the trial court's statement is bound by the waiver even
if it previously filed proposed findings contrary to those actually issued by
the court. (Californians for Population Stabilization v.
Hewlett-Packard Co. (1997) 58 Cal.App.4th 273, 291.)
FN42. Moreover, Florence cannot in good faith even try to
make the argument that she did not understand the import of the trial court's
findings on these issues because her counsel, in open court, frankly
acknowledged how these findings devastated their case. "[T]o say that Rose
Wendland acted in good faith based on medical care and consideration of his
best interests is going pretty far and may, in fact, viscerate [sic:
eviscerate] your entire announcement in...the order." (Reporter's
Transcript 2528:3-7)
Finally, CCP § 909 gives this Court authority
to end this litigation now. Using a "liberal construction" of this
statute, this Court can make the necessary ""factual
determinations...based on the evidence adduced before the trial court" *48
and on the updated medical evidence Robert's attorney has filed with his brief.
If the "interests of justice" and "finally dispos[ing] of [a
cause] by a single appeal" call for a reviewing Court to settle any
litigation, it has to be this case because an end to this litigation will end
Robert's suffering and vindicate his constitutional right to have a responsible
medical decision made on his behalf.
Robert has the capacity to suffer, though we
do not know its exact extent. Judge McNatt poignantly recognized this when he
wrote "it still can be debated whether the conservatee's life is being
preserved [by my order] or he is being sentenced to life" (JA at 625),
sentenced, that is, to a life of suffering and negative feelings. [FN43] The
failure to end this litigation now amounts to little other than physical
cruelty to Robert, even though surely unintended cruelty. The failure to end
this litigation now also delays effectuation of Robert's personal values and
wishes.
FN43. This has been amply proved at trial (see, e.g., Rose's
Response Brief below at 24-25) and in the updated medical reports from Mr.
Braden's experts.
IV. Conclusion
Since death is the natural conclusion of all
life, the precise moment may be less critical than the quality of time
preceding it. Especially when the prognosis for full recovery from
serious...incapacitation is dim, the relative balance of benefit and burden
must lie within the patient's exclusive estimation.... (Thor, supra, at 739.) Robert has no chance of recovering even
partially. All he has is the "quality of time" and life before he
dies, and it is, tragically, a terrible quality as he cannot communicate, take
care of himself or his family, be a husband or father, or do anything
meaningful to him. Yet he can experience pain and suffering.
Robert and Rose's eldest child, Katie (a
teenager at the time), wrote the following words to the trial court after he
initially ruled against her mother. (JA 458) They tell us much about the man
who is the subject of this litigation.
My dad was the kind of person that
approached life with 110% For that reason, he tuned up our car himself instead
of hiring a mechanic, *49 unclogged our drains instead of hiring a
plumber, and helped me sister, brother and I with our homework instead of
hiring a tutor. He enjoyed camping, Sunday evening barbecues, and listening to
the Beatles, but his favorite activity was boating. I can remember taking our
boat out onto the Delta and feeling the wind as it hit my face; and seeing my
dad smile slyly as he glanced across his shoulder and pushed the throttle down.
Faster! Faster! I simply cannot imagine him not being able to do all of these
simple things that pleased him so much.... I know that my dad never wanted to
be dependent on anything or anyone but himself because he told me so on many
different occasions. Now I only wish that I wasn't so
selfish when I visited him in the hospital after the accident and agreed to put
him to life support. I thought that our support would somehow make him get
better, but I know now that hope cannot overcome fate. I have very fond
memories of my father, and I know that he loved my mom, Kerrie, Robbie, and I
with all of his heart. But memories are all that I will ever have of him for I
know in my heart that he died the moment he crashed. Since the accident he has
been spared his life, but he is unable to go on living it. He survives in a
gray shadow somewhere between life and death. The doctors say that he can feel
virtually no pain, but I know he has suffered a great deal for the past two
years. We were his life, and everything he did made his life worth living.
Without that, he is nothing. Nothing in the world would make me happier than to
be able to talk to him one last time; to hear him speak and see him smile. But
I have realized for some time now that he will never get well enough to do even
a few of the things in life that made him happy. It is time that he is able to
move on to a better place where he will be happy once again.
As Katie said, Robert exists in a twilight
state between life and death, though he is much closer to the latter than the
former. Our Legislature has given the judgment of balancing benefits and
burdens of further existence through medical treatment to Rose, Robert's wife
of over 20 years. Let her and their children end his suffering and the loss of
his choice to leave this world rather than linger in it
to suffer and exist for no good purpose. Let Rose, Katie, Kerrie, and Robbie
all begin their final stage of mourning for their loss of a husband and father,
mourning that began 7 long years ago when Robert's *50 biographical life
was crushed beyond rescue or repair in a senseless accident.
Let Rose
make good on her marriage promise to love and honor him.