Rule 11 Proceedings In Arizona

Throughout legal history, it has generally been established that a criminal defendant should have a certain level of competence in order to stand trial. Arizona is no exception to this, although states can create their own statutory standards for competence to stand trial. Rule 11 of Arizona’s Rules of Criminal Procedure covers this topic, so hearings on the subject are named after this rule. A Rule 11 hearing is one that is meant to determine is legally sane so that due process is not violated in their prosecution. It is a key part of a trial in which a defendant plans to use an insanity defense. If you or a loved one is facing criminal charges in Arizona while dealing with mental health issues, Rule 11 could be especially pertinent to your case. Read on to learn more about Rule 11 proceedings in Arizona criminal defense cases. To schedule your free consultation with one of our dedicated Arizona criminal defenders, 480-833-8000. 

Rule 11 of Arizona’s Rules of Criminal Procedure

Rule 11 is Arizona’s criminal procedural statute regarding incompetence and mental evaluations. The basis of this rule is that “a defendant may not be tried, convicted, or sentenced while that defendant is incompetent. A defendant is not incompetent to stand trial merely because the defendant has a mental illness, defect, or disability.” Here, incompetence is the ability “to understand the nature and objective of the proceedings or to assist in his or her defense.” So a criminal defendant can be mentally ill and still go to trial if they essentially understand what is happening. 

The court and any party (including a co-defendant) in a criminal matter can move for a defendant to be evaluated for mental competence. The motion requesting the evaluation should include facts about why the evaluation is being requested. The moving party can also suggest three mental health professionals to conduct the evaluation. Once mental health experts have been appointed, there is a three-day deadline to provide them with all of the defendant’s criminal and mental health records. The court can order a preliminary examination to determine if those experts should be appointed. If the defendant is found to be competent or restored to competence, regular proceedings should be reinstated as soon as possible. The court can dismiss misdemeanor charges if the defendant has been found mentally incompetent. 

The Role of Mental Health Experts

There should be at least one mental health expert assigned for Rule 11 proceedings in misdemeanor cases, and at least two assigned for felony cases. They are required to examine the defendant, report back to the court, and, if necessary, testify regarding the defendant’s competence to stand trial. A mental health expert doesn’t necessarily have to be a psychiatrist, but that can be requested in the Rule 11 motion. A mental health expert does have to be familiar with Arizona’s standards for competence and involuntary commitment. They should also be familiar with local practices for treatment, training, and restoration. Lastly, they should be approved by meeting court-developed guidelines, such as court-approved or continuing education programs. 

The standards that a mental health expert’s report must meet are set forth by A.R.S. § 13-4509. At a bare minimum, there are four things a mental health report should include:

1. The name of each examining mental health expert;
2. A description of any tests conducted on the defendant;
3. The facts on which the findings are based; and,
4. An opinion on the defendant’s competency. 

There are additional requirements that must be met if the defendant is found incompetent to stand trial. Here, the report should also include: 

1. The nature of the mental disease, defect, or disability that is causing the incompetency.
2. The defendant’s prognosis.
3. If requested, whether the defendant should be considered dangerous, and how their mental condition makes the defendant likely to be dangerous. 
4. The most appropriate form and place of treatment.
5. Whether the defendant is incompetent to refuse treatment and should be subject to involuntary treatment.
6. Whether the defendant has a history of dangerous conduct. 

Competence Hearings

A competence hearing must be held within 30 days of mental health experts submitting their reports to the court, which must be done within 10 days of an evaluation. A competent defendant is returned back to regular criminal justice proceedings. Otherwise, the defendant is designated as either incompetent but restorable, or incompetent and not restorable. This is the question of whether treatment can return the defendant to the requisite level of competence. When the defendant is restorable, they can be ordered to complete competency restoration treatment. The orders should indicate if involuntary treatment measures should be taken. The treatment orders should also contain the location, whether treatment is inpatient or outpatient, means of transportation to the treatment site, the length of treatment, how the defendant will be transported after treatment, and a provision that the court be notified if the defendant regains competency before the treatment orders expire. 

A defendant is incompetent and not restorable if there is no substantial probability that the defendant will return to competency within their maximum sentence or 21 months, whichever is less. The judge will have a few options in how to proceed here. The defendant could be evaluated as the start of the civil commitment process. A guardian ad litem could be appointed to determine if the defendant needs a long-term guardian or conservator. The defendant could be released from custody with the charges dismissed without prejudice. If the defendant was charged with a serious offense, the judge can order a trial to determine if the defendant is dangerous and should be involuntarily committed. 

Restoration Reports

If the defendant is ordered to mental health treatment through Rule 11 proceedings, their treatment supervisor will submit numerous reports throughout their treatment. Inpatient treatment reports must be submitted 120 days after the court’s initial treatment order, and then every 180 days moving forward. Outpatient treatment reports must be submitted every 60 days. The treatment supervisor must also submit reports when they believe the defendant is competent to stand trial, if they conclude that the defendant will not be returned to competence within 21 months of the Rule 11 hearing, and 14 days before the most recent treatment orders expire. 

Plan on Using an Insanity Plea to Defend Against Criminal Charges in Arizona? 

You have the right to an attorney in a Rule 11 proceeding in Arizona. This is crucial to making sure your rights are maintained throughout the criminal justice process. This is true for every step of a trial, but even more so if the defendant’s mental competence is in question. Many assume that this legal strategy lets the defendant off scot-free, but a defense attorney can prepare you for the realities of using Rule 11 as a defense against criminal charges. They can also help you explore your other options so you feel as secure and confident as possible when entering trial. If you or a loved one has been arrested and charged with a crime, you should explore all of the available legal strategies in an expedient manner. Do so with no risk or obligation by scheduling your free consultation with our firm. Schedule your time to speak with one of our experienced Arizona criminal defenders by calling 480-833-8000.