Court Cases on the Diagnosis of
FAS/FAE
In The Interests of Alicia R.
1998 WL 855512 (Conn. Super.)
Court approves termination of the parental rights of the mother,
who has FAS.
The mother at age 37 possessed "the distinctive facial
abnormalities of the disorder," as well as "congenital neuro-cognitive
impairment in her ability to organize events and its impact on the higher
cognitive functions such as anticipating and making connections between
events."
The mother had since the age of 16 been receiving SSI benefits.
"Because of her condition and abilities, [the mother] has only had
marginal employment on an intermittent basis during her life." (*1).
There was evidence of a number of incidents of sexual and other
abuse of the child involved.
In re Alicia Z.,
784 N.E. 2d 240, 336 Ill. App. 3d 476, 271 Ill. Dec. 22 (App. Ct. 2002)
The appellate court declined to transfer guardianship of girl with
FAS to her foster parents, but also declined to order that she be
immediately placed in the custody of her biological father.
There was a dispute in this case about whether the child in
question, Zayda, actually had FAS. A pediatrician testified that Zayda
did have FAS, while a pediatric geneticist concluded that she had neither
FAS, FAE, nor ARND. The latter physician testified that if there were
evidence that the mother consumed alcohol during pregnancy, that might
alter her diagnosis. The trial court had already concluded that the
mother did drink during the pregnancy. The child had an IQ of 100; both
experts agreed that that did not rule out a diagnosis of FAS. The trial
court downplayed the importance of the disagreement about whether the
child had FAS/FAE, since both experts agreed that Zayda needed continuing
therapy sessions.
Zayda was first diagnosed with FAS in January 2000, when she was
less than two. A court "ordered early intervention therapies,
developmental classes, and occupational and speech therapy." She was
later was "kicked out" of two day care centers for behaving badly, but her
ability to extract and use learned information had improved.
The biological father had attended some of the child's therapy
sessions, and understood and was attempting to help her deal with her
problems.
"[He] used games, puzzles, and toys to teach her to remain focused on
tasks. He also calmed Zayda when she became disoriented, frustrated,
anxious, and afraid."
April v. Associated Catholic Charities
of New Orleans
629 F. 2d 1295 (Ct. App. 4th Cir. 1993)
Christopher April was born in 1984, and adopted by the plaintiffs
in 1985. In 1991 the parents sued the adoption agency for "wrongful
adoption." The trial court concluded that Louisiana law recognized a
claim for wrongful adoption; the appellate court did not reach that issue.
Instead, the court of appeal concluded that the parents had waited
too long to sue. The court held that, at the least, the parents had
reasonable notice that they might have a cause of action when their
pediatric neurologist told them that the child had FAS. The court's
opinion suggested the parents were on notice years earlier that the child
had serious neurological problems, and that it might not matter that they
only learned later that FAS was the cause. (629 So. 2d at 1298). Under
Louisiana law the parents were required to file suit within one year of
the date when they knew that they had a claim, which they had not done.
The earliest signs of possible FAS were that the child had a
small-head (microcephalic), and had a seizure when he was 8 months old.
(629 So. 2d at 1296-97).
When the child was two and in day care, the school noted that he
was "extremely hyper" and referred his parents to the local board of
education. Based on that evaluation, and a finding that his speech
development was slow, the school system placed the child in special
education at the age of three. (629 So. 2d at 1297). The mother first
began to suspect FAS after she read The Broken Cord, and saw the movie of
the same name.
Another physician, Dr. Diane Africk, also diagnosed the child as
having FAS. "Dr. Africk did not undertake any treatment because none is
available." (629 So. 2d at 1297.)
State v. Bonner
577 N.W. 2d 575, 1998 S.D. 30 (1998)
Diagnosis and Symptoms
This opinion contains two detailed and useful descriptions
of FAS/FAE.
"Fetal Alcohol Syndrome (FAS) is a pattern of mental and physical
defects
which develop in some unborn babies when the mother ingests alcohol during
pregnancy. Those born with FAS may be seriously handicapped and require a
lifetime of special care. Impairments include physical birth defects
including mental retardation, growth deficiencies, central nervous system
dysfunction, craniofacial abnormalities and behavioral maladjustments.
Fetal Alcohol Effect (FAE) is a less severe set of the same symptoms.
Experts are not in full agreement on the precise distinctions between FAS
and FAE. However, behavioral problems of FAE children can be as severe as
those of FAS children. FAS/FAE produces irreversible physical, mental and
emotional deficits. Many children with FAS/FAE are not able to understand
cause and effect relationships and long-term consequences. In 1991, the
Journal of the American Medical Association reported that FAS is the
leading known cause of mental retardation. At least 5,000 infants are
born each year with FAS, or approximately one of every 750 live births.
thirty to forty percent of babies whose mothers drink heavily throughout
pregnancy have the syndrome. source: United States Department of Health
and Human Services"
577 N.W. 2d at 577 n. 1. It is not correct to say that FAE is a "less
severe" version of the FAS symptoms. Some FAS symptoms (by definition)
are entirely absent (i.e. certain characteristic facial features), but
other primary and secondary disabilities may be the same or worse.
"People with FAE lack bonding and social skills, frequently use
poor
judgment, lack a conscious awareness of maintaining peer relationships,
tend to relate better to adults, lack self-esteem, school performance is
low, frequently seek attention inappropriately, lack in attention span
Development, often act impulsively, tend to be followers, tend to be weak
in verbal and auditory learning, and tend to get into social and legal
problems due to these deficits."
577 N.W. 2d at 577.
Sentencing
Excessiveness and Inequality of Sentencing
Bonner was one of three young men convicted of a minor burglary,
involving the theft of some CDs, cash, and two necklaces. The good stolen
appear to have been worth less than $100. 577 N.W. 2d at 582. The other
defendants (whom, so far as the opinion reflects, did not have FAS)
received sentences of a $750 fine and 160 or 180 days in jail with work
release. Bonner, who was 19 and pled guilty, was sentenced to 15 years in
prison. He had not prior felony record, and only a few lesser
misdemeanors. 577 N.W. 2d at 657.
The South Dakota Supreme Court concluded that the sentence was
"grossly out of proportion to the severity of the crime." 577 N.W. 2d at
581. It based its decision on the sentences of the co-defendants, the
lack of a serious prior record, and the absence of any violence in the
crime.
This may be a case in which an FAS/FAE defendant who went along
with a crime involving more sophisticated offenders got the heavy
sentence, while the other offenders got off fairly easily. That is
certainly a pattern seen in other cases.
Limited Mental Capacity
Bonner's attorney argued that the burglary sentence was excessive
because of Bonner's "limited intellectual capacity." 577 N.W. 2d at 581.
(It is unclear whether the attorney raised only Bonner's low IQ, or
whether this is just an infelicitous turn of phrase in the court's
opinion). The court explained that such limitations were not usually a
defense, but were relevant to culpability and thus to sentencing.
"People with mental retardation can be held accountable for
criminal acts
they commit. Penry v. Lynaugh, 492 U.S. 302 . . . (1989) . . . .
On the
other hand,
It is clear that mental retardation has long been regarded as a
factor that may diminish an individual's culpability for a criminal act .
. . .
Lynbaugh, 492 U.S. at 337."
577 N.W. 2d at 581.
Need for Treatment
Bonner's attorney also objected to the sentence on the ground that
Bonner needed treatment that could not be obtained in prison.
"Bonner's counsel and a clinical social worker argued at
sentencing that
the penal system did not lend itself to Bonner's mental disability. They
urged the court to give Bonner a suspended imposition of sentence and
place him on probation for ten to fifteen years to give him a chance to
enter the Black Hills Workshop (an institution serving the developmentally
disabled) where, in five to ten years, he will 'probably function fairly
independently.'"
577 N.W. 2d at 581. The court did not address this argument.
Rape Sentence
Bonner also received a 15 year sentence for sexual relations with
the 14 year old girl who had persuaded him to come to her hometown for the
express purpose of being her boyfriend. In upholding that sentence, the
court did not engage in any of the analysis which was used with regard to
the burglary sentence. For example, with regard to the burglary sentence,
the court stressed that the maximum sentence should be reserved for the
most serious combinations of offense and background of the offender. 577
N.W. 2d at 582. But in upholding the maximum sentence possible for the
sexual contact charge, the court did not assert that the offense or
background were unusually serious, but noted only that "[t]here may
be
legitimate and compelling reasons . . . why a sentencing court might
believe the maximum sentence appropriate." 577 N.W. 2d at 582-83
(Emphasis added).
Prior Record
This appears to be a classic case in which an individual with
FAS/FAE repeatedly got in trouble with the law, but too little was done to
frame sentences that would provide him with treatment and structure until
he got into very serious trouble.
"As a juvenile, Bonner was in recurrent trouble with law
enforcement in
Wyoming who described his violations, though petty, as 'atrocious.' The
authorities were happy to see him move out of Wyoming and dismissed
pending matters against him. In south Dakota, Bonner's troublesome
behaviors continued. While still a juvenile, he was placed on formal
indefinite probation twice for first degree petty theft and disturbance of
school. He admitted a delinquency petition charging him with threatening
or harassing telephone calls. Yet, until the incidents involved in this
case, Bonner's entire adult record consisted of first degree petty theft,
lighting fireworks within city limits, and no driver's
license."
577 N.W. 2d at 577.
The trial judge who imposed the 15 year sentence for a
$100
burglary saw in this history not a failure of the criminal justice system,
but proof that Bonner was a dangerous career criminal.
"At sentencing, the trial court discussed Bonner's limited
intellectual
capacity, prior juvenile record which it viewed as 'not good,' the crimes
which showed 'little if any respect for other people and other people's
property,' as well as prior unsuccessful attempts to address Bonner's
problems. The court described him as an 'absolute danger,' and explained
'at some point in time we have to decide what we are going to do with
people who have a propensity to violate the law, whether they have a
limited capacity to think or perform or not.' The court then concluded,
'he should be separated from society period.'"
577 N.W. 2d at 580-81. This sounds like a decision to impose an
exceptionally long sentence precisely because of Bonner's limited
capacity, which is precisely the opposite of what the state Supreme Court
indicated should be the result of such a limitation.
Sexual Offenses
Bonner had serious difficulties throughout his childhood. He
received psychological counseling and was on a regimen of medication to
control his behavior. At the age of 17 he finally finished ninth grade,
and quit school. He had no significant work experience thereafter.
When Bonner was (apparently) 18, he met a 14 year old girl from
another town who told him she was 17. After the girl returned home, she
called him every day for a week urging him to come to her town so that
they could be boyfriend and girlfriend. "Enraptured, Bonner hastily
borrowed money from a friend for a bus ticket," 577 N.W. 2d at 577, and
traveled to the girl's town. There he stopped taking his medication, and
spent several weeks drinking and partying. During this period he
allegedly had sexual intercourse on two occasions with the girl in
question.
The police also investigated Bonner with regard to possible sexual
contacts with four other girls. There was a rape charge filed with regard
to a 13 year old girl, but the only facts in the record consisted of a
statement by the girls denying any sexual contact other than a few
"hickeys." 577 N.W. 2d at 578.
Police Practices
After Bonner had purchased the bus ticket for the ill fated trip
to the girl's hometown, his father attempted to prevent him from leaving.
"At the terminal, his father begged him not to go--he even tried
to physically prevent him from leaving--but local law enforcement officers
intervened, allowing Bonner to board the bus because he was an
adult."
577 N.W. 2d at 577. So far as appears from the record, nothing was
done to alert police in the town to which Bonner was headed. It also
appears,
despite the three prior minor adult offenses, that Bonner was not on
probation and therefore not subject to the control of a probation official
in these circumstances.
In sum, when he arrived at the bus terminal, Bonner was a disabled
and disturbed young man with a long history of minor offenses who was
clearly headed for more serious trouble. When his father attempted to
intervene, the police responded by facilitating Bonner's departure--and
the offenses that inevitably followed. Although it is unclear how much
police knew at the time, the events in this case illustrate how police
understanding of FAS/FAE could be important in preventing criminal
offenses.
State v. Brett
126 Wash. 2d 136, 892 P. 2d 29 (1995)
In the Matter of Brett
142 Wash. 2d 868, 16 P. 3d 601 (2001)
After Brett was convicted of murder, his trial attorney asked for
a one month delay to obtain a diagnosis regarding FAS/FAE. The motion was
denied, and after a sentencing hearing the jury imposed the death penalty.
On direct appeal Brett challenged the denial of the requested
delay, objecting that it prevented him from obtaining such a diagnosis.
The Washington Supreme Court in 1995 rejected that argument and upheld
Brett's sentence. 892 P. 2d at 63-65.
Brett then brought a state post-conviction proceeding, in which he
asserted he had been denied the effective assistance of counsel because
his trial attorney had failed to obtain such a diagnosis prior to trial.
In 2000 the trial attorney was disbarred. 16 P. 2d at 609 n. 2. In 2001
the Washington Supreme Court held that Brett had been denied the effective
assistance of counsel, and overturned his death sentence.
Diagnosis and Symptoms
In connection with the post-conviction proceeding two doctors
diagnosed Brett as having FAE. Dr. Moore performed a clinical interview
with Brett and reviewed his Department of Juvenile Rehabilitation records,
school records, as well as other medical reports and records and
affidavits from family members. Dr. Dolan did a physical examination of
Brett and reviewed Brett's medical, educational and psychological records
and the 1992 trial testimony. 16 P. 2d at 604-05.
The court in 2001 explained that:
"Fetal alcohol effect is defined as behavioral or cognitive
abnormality
evidenced through learning difficulties, deficits in school performance,
poor impulse control, problems in social perception, deficits in higher
level receptive and expressive language, poor capacity for abstraction or
metacognition, and specific deficits in mathematical skills or problems in
memory, attention, or judgment."
16 P. 2d at 605. Dr. Robin A. LaDue testified that FAE had
"'a significant impact' on Brett's mental abilities, including his
impaired judgment, his inability to understand cause and effect, and his
difficulty controlling impulses."
16 P. 2d at 605.
Expert Witnesses
One month prior to trial the defense attorney obtained the
appointment of a mental health expert, Dr. Stanulis, who reviewed Brett's
school, medical and Department of Corrections records. On the day he was
schedule to testify, however, Dr. Stanulis informed counsel that because
he was a psychologist, not a psychiatrist, he was not qualified to
diagnose or testify about FAS/FAE. 16 P. 2d at 606. Thus "the only
expert defense [witness] retained by the defense could not render expert
opinion and could not be used to support a defense theory." 16 P. 2d at
606.
At the post-conviction proceeding both Dr. LaDue and a Dr. Michael
A. Dolan testified that a diagnosis of FAE could only be made by a
qualified medical doctor or geneticist. 16 P. 2d at 605.
The 2001 opinion recites that defense counsel at the last minute
instead presented another witness in place of Dr. Stanulis.
"However, this witness was not qualified to testify concerning
Brett's medical conditions and the mental effects, did not make an
individualized diagnosis of Brett, and provided erroneous testimony
regarding fetal alcohol effect."
16 P. 2d at 606 n.1.
At the post-conviction proceeding Brett offered diagnoses of FAE
by Dr. Julia L. Moore, a psychiatrist, and Dr. Michael A. Dolan, a medical
doctor and an expert on prenatal exposure to alcohol. Dr. Ladue testified
about the impact of FAE. 16 P. 2d at 605.
In this case the trial judge permitted defense counsel, even in
the absence of a formal diagnosis, to urge the jury to conclude that Brett
had FAS or FAE. The judge concluded that the jury could make such an
inference where the record included (a) evidence that Brett's mother drank
(it is unclear if the evidence referred specifically to drinking during
the pregnancy), (b) evidence of the behavior characteristics typical of
FAS/FAE, and (c) testimony that Brett had behaved in that manner. 892 P.
2d at 64.
"The defense presented testimony from Dr. Ryan, a chemical
dependency and
mental health counselor, regarding the symptoms exhibited by persons
suffering from FAS and FAE and the causative factors leading to those
conditions. Testimony was presented regarding Brett's upbringing and
behavior which allowed the defense to argue and the jury to infer that
Brett suffered from FAS or FAE.
In addition, a diagnosis of FAS/FAE, according to defense retained
expert Dr. Stanulis, would place nothing more than a label on Brett's
lower intelligence and behavioral problems, evidence which was already
before the jury. With or without the diagnosis or label, the defense
could argue that such evidence mitigated in favor of the lesser
sentence."
892 P. 2d at 64.
The subsequent 2001 decision seems intelligible only as embodying
a conclusion that it might well have effected the outcome of the case if
Brett had also had a formal FAE diagnosis, a conclusion seemingly
inconsistent with the court's 1995 opinion. The distinction seems
critical to this and most FAS/FAE ineffectiveness claims. There is a
world of difference between evidence of past behavioral problems, and
evidence that a defendant has organic brain damage, FAS/FAE, which
caused
such behavior. A critical question in sentencing is whether a defendant
may not be (fully) responsible for the actions which constituted the
crime. A history of behavior problems, without that causal explanation,
may convince the jury only that the defendant is a chronic miscreant.
That is what occurred in the sentencing opinion in the Bonner case.
Ineffective Assistance of Counsel
Sentencing
The critical failing of the defense attorney was delay. Brett's
trial attorney knew that Brett had mental problems. The attorney did not
seek to retain a mental health expert until a month before trial was to
begin. The expert was only appointed 19 days before trial, and the expert
was not provided with Brett's school, medical and Department of
Corrections records until two days before trial. 16 P. 2d at 606. By the
time the expert had identified FAS/FAE as the critical problem, and
disclosed that he could not diagnose or testify about that condition, it
was the very day on which the expert was supposed to testify.
The physicians who testified in the post-conviction proceeding
specifically stated that in 1992, at the time of the original trial, it
was possible to diagnose FAE. 16 P. 2d at 604-05.
In holding that the attorney's representation was constitutionally
insufficient, the Washington Supreme Court explained:
"When defense counsel knows or has reason to know of a capital
defendant's
medical and mental problems that are relevant to making an informed
defense theory, defense counsel has a duty to conduct a reasonable
investigation into the defendant's medical and mental health, have such
problems fully assessed and, if necessary, retain qualified experts to
testify accordingly."
16 P. 2d at 607.
A sentence or conviction can only be overturned because of
ineffective representation if there is a showing that that ineffectiveness
might have affected the sentence or conviction that occurred. In a large
number of cases in which defendants have based an ineffectiveness claim on
the failure of defense counsel to raise FAS/FAE as a possible mitigating
factor, the courts have summarily held, without explanation, that the
sentence would have been the same even if that evidence had been developed
and presented. In this case, the Washington Supreme Court reached the
opposite conclusion, but also did so without any explanation of how it
concluded that the missing evidence might have mattered.
"We find Brett has shown by a preponderance of the evidence there
is a reasonable probability that, but for counsel's errors, the results of
his
trial would have been different."
16 P. 3d at 608.
Calliham v. Secretary of Department of
Health and Human Services
1991 WL 214067 (United States Court of Claims)
This was a lawsuit about a child with organic brain damage. Part
of his brain, the corpus callosum, was far smaller than it should be, a
condition known as agenesis of the corpus callosum. The child was in the
custody of her grandmother. The grandmother asserted that the condition
had been caused by the child's DPT vaccination; if that were the cause,
the federal government would be liable for the child's injuries.
The Department of Health and Human Services argued that the
condition was "probably caused by fetal alcohol exposure." Footnote 5.
The mother was a known alcoholic. The case is significant because the
government recognized that FAS can cause injury to the corpus callosum.
The court did not decide what had caused the condition.
In the Matter of C.C.
1997 WL 360676 (Tex. Ct. App.)
The appellate court approves the termination of the father's
parental rights with regard to three children, all of whom had FAS. (*4).
The court concluded that one factor militating in favor of
termination of parental rights was that the children had "tremendous
needs."
A pediatrician who specialized in birth defects
"diagnosed the children with triple hit suite syndrome, a syndrome
associated with prenatal exposure to drugs/alcohol. The children have the
physical features of Down's Syndrome, physical growth problems, and
learning disorders. All three children suffer from growth impairment
which indicates their cases are severe."
(*4). The mother at various times had used marijuana, cocaine, and
methamphetamine. One child had tested positive for drugs (unspecified) at
birth.
Cole v. Crosby
No. 505CV222OC10GRJ, slip op., 2006 WL 1169536 (M.D. Fla. 2006)
Loran Cole was sentenced to death after being convicted of first degree
murder, kidnapping, robbery and sexual battery. After unsuccessful
appeals, Cole brought a petition for writ of habeas corpus and challenged
his conviction by arguing, among other things, ineffective assistance of
counsel on the basis that (1) his counsel failed to request jury
instructions for two statutory mental mitigators (that the capital felony
was committed while under the influence of extreme mental or emotional
disturbance, and that his capacity to appreciate the criminality of his
conduct or to conform his conduct to the requirements of the law was
substantially impaired -see Fla. Stat. § 921.141(6)(b), (f)),
and
(2) his
counsel failed to subject Cole to a competent, neuropsychological exam.
It is not clear from the court's opinion whether Cole specifically raised
the possibility of FAS in connection with these claims.
As to claim (1), the court agreed with the state court;s finding that,
while Cole did establish the mitigating factors of organic brain damage
and mental illness, he failed to establish that such brain damage or
mental illness affected his judgment regarding his criminal acts.
Therefore, the court concluded that any error by counsel in not raising
the statutory mental mitigators did not affect the outcome of the penalty
phase. (The state court's opinion described testimony by experts to the
effect that Cole exhibited signs of mental illness and organic brain
damage, but noted that there was no independent evidence of brain injury
or FAS).
As to claim (2), the court concluded that counsel conducted extensive
investigations concerning Cole's mental state and did in fact hire several
experts, including a neurospychologist who concluded that Cole was
"neuropsychologically" sound; counsel therefore decided to not obtain a
written report or call him as a witness. Counsel also hired a forensic
psychologist, who explored various factors that could have caused Cole's
brain damage, including possible head injuries or FAS.
Finding Cole's claims to be without merit, the court dismissed Cole's
petition.
Davies v. State
758 N.E. 2d 981 (Ind. Ct. App. 2001)
Davies pled guilty to murder and several other crimes. We was
sentenced to consecutive terms in prison totalling 108 years. He appealed
the length of the sentence.
Davies argued that he should have received a shorter sentence
because he had FAE. Indiana Law states that one of the mitigating factors
at sentencing is whether "the defendant's capacity to appreciate the
criminality of the defendant's conduct or to conform that conduct to the
requirements of law was substantially impaired as a result of
mental
disease or defect." 758 N.E. 2d at 988 (Emphasis added).
The sentencing judge recognized that Davies had FAE, but gave that
factor only minimal weight in his sentencing decision. The sentencing
judge explained that the FAE was
"mild at best. There's no evidence that they're severe in
[Davies'] case.
And although mild [FAE] are consistent with problem solving deficits,
impulsivity, high levels of frustration and so forth, as the testimony
came out, there is no evidence that mild [FAE] leads to violent
sociopathic behavior. While [FAE] may help to explain [Davies], the
evidence does not support a conclusion that he committed these horrible
crimes because of [FAE]."
758 N.E. 2d at 983. The report of Davies' expert
"did establish that Davies' behavior problems include
'impulsivity; poor
planning; poor reasoning skills; difficulty in multi-tasking; difficulty
in integrating information; memory impairment; and poorly controlled
behavior.' It also indicated that Davies has neurocognitive strengths
including an average IQ, reading and spelling scores at the high school
level, arithmetic scores at a post-high school level, and an average
capacity for social judgment and reasoning."
Davies' expert witness was a Dr. Paul Guastadisegni, who was described
as a "neuropsychologist who frequently works with children suffering from
fetal alcohol syndrome and FAE." 758 N.E. 2d at 988 n. 10.
The court of appeals concluded that the sentencing judge did not
abuse his discretion in giving only minimal weight to FAE as a
mitigator.
Devereux v. Abbey
263 F. 3d 1070 (9th Cir. 2001)(en banc)
This case grew out of a series of prosecutions, now largely
discredited, of adults alleged to have engaged in sexual acts with young
children. Devereux, who was one of those prosecuted, brought a civil
lawsuit for damages against several of the officials involved.
Devereux asserted among other things that the case against him had
been built in part by police officials who knowingly induced unreliable
testimony from a minor whom they knew had FAS. Devereux asserted that
individuals with FAS can easily be induced to give false testimony. (263
F. 3d at 1078). The majority opinion did not address this argument, since
the child in question had ultimately recanted her accusations. The
majority upheld the dismissal of the suit.
Judge Kleinfeld, in a separate opinion concurring in part and
dissenting in part, quoted from a book about FAS which described the
effects of FAS/FAE as including "inappropriate social behavior, memory
deficits . . . lack of judgment, lack of remorse for misbehavior, lying .
. . unusual aggressiveness, and wide variations in learning abilities at
different times." (263 F. 3d at 1087). He would have permitted the case
to go to trial, because on his view a jury could infer that at least one
or more defendant officials knew they had induced false testimony from a
suggestible witness.
URL:
Ex parte Dobyne
672 So. 2d 1354 (Ala. 1995)
Dobyne was convicted of murder and sentenced to death. Prior to
his trial Dobyne filed a motion for funds to hire a neurologist. Dobyne
offered evidence that he had FAS, and sought appointment of the
neurologist to confirm that diagnosis.
The trial court denied the motion, and the Alabama Supreme Court
affirmed. The appellate court reasoned that Dobyne had failed to show
that there was a "reasonable probability" that appointment of the
neurologist would have affected the outcome of the case.
The trial judge did provide funds to hire a "mitigation
investigator" to conduct a full investigation of his background, including
the fact that his mother had abused alcohol. 672 So. 2d at 1358. Dobyne
subsequently obtained a letter from a clinical psychologist (how he paid
for this is not clear) noting that Dobyne had a history of FAS. The
letter recommended two evaluations: (1) a neuropsychological evaluation,
to be done by the psychologist, and (2) a neurological evaluation. The
court agreed to funds for only the first.
The psychologist whom the court funded
"conducted the neuropsychological evaluation and explained that
such an
evaluation involves the assessment of such functional abilities as memory,
problem solving, and language, through the use of standardized
psychometric tests. Neuropsychological evaluation results are able to
describe the functional deficits related to neurological problems."
672 So. 2d at 1358. The evaluation concluded that Dobyne had, and
described, "functional deficits that were related to neurological
conditions." 672 So. 2d at 1358.
The court concluded that appointment of a neurologist would have
been unlikely to affect the outcome of the case because that expert would
have been redundant. The neuropsychological tests alone met Dobyne's
trial needs.
"[The psychologist] explained that testing in a neurological
examination
includes such procedures as an EEG, an MRI, and a CT scan, and that that
testing would assess and localize anatomical and physiological details of
any neurological dysfunction."
672 So. 2d at 1358. The court reasoned
"A neurological evaluation would determine whether Dobyne had
actual brain
damage. However, [the psychologist] testified that Dobyne evidenced
characteristics of a person with such a neurological condition. A
neurological evaluation would merely be redundant of such testimony and
would add nothing significant."
672 So. 2d at 1359.
This decision is squarely inconsistent with the decision in
Cherry v. State, 781 So. 2d 1040 (Fla.
2000), holding that neuropsychological
evidence of FAS was insufficient because the defendant had failed to offer
physical evidence of brain damage. That decision held essential the very
evidence which this decision holds is entirely unnecessary. Both
decisions appear to be incorrect. Neuropsychological assessment is a
sufficient method of diagnosis, and in the past one of the primary methods
of diagnosis. On the other hand, a defendant should be offered the
opportunity to obtain neurological evidence, which a jury may find more
persuasive, particularly if the prosecution does not agree that FAS is
present.
Nonetheless, the fact that in this case first an investigator and
then a psychologist were funded by the court to look into FAS represents a
better response than occurs in many cases.
Elledge v. Florida
911 So.2d 57 (Fla. 2005)
Elledge pled guilty to rape and murder and was sentenced to death.
Elledge moved for post conviction relief, claiming, among other things,
ineffective assistance of counsel. The trial court denied post conviction
relief and Elledge appealed.
Elledge contends that he was denied effective assistance of counsel
because trial counsel relied on mental health experts who were not
board-certified, were improperly prepared, and who provided conflicting
testimony. While one expert, Dr. Schwartz, testified that Elledge
displayed signs of organic brain damage and fetal alcohol syndrome, Dr.
Caddy, another expert, did not agree with Dr. Schwart's conclusions.
While the trial court noted the discrepancy and found that Dr. Caddy's
testimony diminished Dr. Schwart's credibility, the appelate court
explained that "the thrust of the trial court's deconstruction of these
mental health experts was not that they provided inconsistent testimony,
but that their diagnoses were contradicted by the facts of the case and
other episodes in Elledge's history." 911 So.2d at 72. In this regard,
the trial court appears to have focused on whether Elledge was generally
capable of exercising control over his violent impulses, in addition to
any specific diagnosis. Based on the record, the appelate court held that
Elledge could not viably assert that trial counsel's presentation and
preparation of the mental health experts prejudiced his defense.
In The Matter of Adoption of
F.H.
851 P. 2d 1361 (Alaska 1993)
The decision erroneously states that FAE "is not as severe" as
FAS. (851 P. 2d at 1363).
Francis v. State
529 So. 2d 670 (Fla. 1988)
Francis was convicted of murder and sentenced to death. He
brought this post-conviction proceeding, alleging that he was denied the
effective assistance of counsel at trial. Francis argued that his trial
attorney had failed to offer as mitigation evidence proof that Francis had
FAS.
The state judge who held a hearing on this claim ruled that
Francis did not have FAS. This is one of the few cases in which the
parties litigated and a court decided whether a particular individual had
FAS. The evidence offered by each side is not described in detail. The
witness called by Francis, a psychiatrist, had interviewed Francis, and
based his diagnosis of FAS "primarily on Francis' facial characteristics."
529 So. 2d at 673. The prosecution's rebuttal expert, also a
psychiatrist, testified that discussions between Francis and the trial
judge at Francis' earlier trial "was grossly inconsistent with somebody
who is brain damaged." 529 So. 2d at 673. Francis had an IQ in the
normal range.
The appellate court rejected the ineffectiveness claim on the
ground that there was not a "reasonable probability" that Francis would
have avoided the death penalty if evidence regarding FAS had been
introduced. 529 So. 2d at 673-74 and n. 9. This was based in part on the
fact that the judge who rejected Francis' claim for post-conviction relief
was the same judge who had earlier sentenced him to death.
A dissenting opinion noted that impairment due to brain damage was
a mitigating factor under Florida law. 529 So. 2d at 678.
In the Matter of the Welfare of
G.A.R.B.
2004 WL 51814 (Minn. App.)
G.A.R.B., a minor, was charged with second-degree murder. He
challenged his "certification as an adult", which meant that G.A.R.B.
would be tried as an adult.
In opposing that certification, counsel for G.A.R.B. argued that
FAS was a mitigating factor. The appellate court upheld the decision of
the district court that no mitigating factors were present. "[W]hile it
has been suspected that G.A.R.B. may have been born with FAS, this
diagnosis has never been established." 2004 WL 51814 at *2.
Hall v. Texas
160 S.W.3d 24 (Tex. Crim. App. 2004)
In this case, defendant was convicted of capital murder and sentenced
to death. On direct appeal, the Court of Criminal Appeals affirmed. The
defendant petitioned the United States Supreme Court for a writ of
certiorari, pursuing a claim of mental retardation. The Supreme Court
vacated decision of Court of Criminal Appeals and remanded for
reconsideration.
During the initial punishment phase, some evidence of mental
retardation
was introduced, including that defendant had always been slower than other
children, he could not stack blocks at the age of 5, he was in special
education classes through the eighth grade, he could not handle regular
classes in ninth grade, and did not advance beyond tenth grade. Testimony
was introduced that the defendant plays like an eight-year-old boy and
associates with young children, that he can not count change, tell time
from a traditional clock, read a menu, use public transportation or engage
in various other daily activities, nor could he follow multi-step
instructions. It was testified that the defendant did know how to use a
phone, operate a microwave, load and unload a dishwasher, brush his teeth,
use a pencil, read, and that he did pass the written driver's license
test. It was noted by one witness that mathematics were largely beyond
his ability but that he did have expressive verbal skills. A number of
psychologists testified for the defendant, indicating IQ scores which
varied from 51 to 84, depending on the test administered. One doctor
concluded that defendant possessed adaptive behavior deficits in seven
different areas: (1) independent functioning (eating, dressing, and
transportation), (2) economic activity (handling money), (3) language
development, (4) self-direction (excessive passivity), (5) socialization
(ability to interact with others), (6) social engagement, and (7)
functional academics. Another psychologist stated that appellant's
physical appearance was typical of FAS or FAE. (She also stated that
defendant exhibited characteristics that resembled other genetic disorders
such as XXY, Kleinfelter Syndrome, YYX, Extra Y Chromosome, or Fragile X
Syndrome.)
Rebuttal testimony was offered by the state to the effect that the
defendant had "pretty average" adaptive skills and acted "pretty
normally," and that his IQ was right around 70. The state's witnesses on
the issue of Hall's mental retardation included many lay witnesses,
including teachers, co-workers and corrections officers.
The appellate court concluded that the lower courts conclusion that
Hall
was not mentally retarded was supported by the record and therefore
affirmed.
A dissenting opinion criticizes the lower court's reliance on lay
testimony in determining whether Hall was mentally retarded. The dissent
notes, "Lay persons often have unrealistic ideas about what mentally
retarded persons look like and how they act. There is a wide range of
abilities encompassed by the term 'mentally retarded'..." The dissent
also
observes: "Persons with limited mental ability often do extremely well in
structured environments, and I cannot think of a more structured
environment than death row." (These comments by the dissent are
particularly apropos in the case of many persons with FAS).
Harris v. Vasquez
913 F. 2d 606 (9th Cir. 1990)
In 1979 Harris was convicted of murder and sentenced to death. In
1990 he filed a federal habeas corpus action seeking to overturn that
sentence.
At the original 1979 trial Harris' attorney did not raise any
issues regarding FAS, and was evidently unaware that Harris might have
FAS. Harris' trial attorney retained two psychiatrists to go over the
case, but neither of them raised the possibility that Harris might have
FAS. In the 1990 federal habeas corpus action, Harris offered diagnoses
from three different physicians, all of whom agreed that Harris had FAS.
(1) The main question before the federal court in 1990
was whether the failure of the original (1979) psychiatrists to identify the
problem of FAS violated Harris' rights. Criminal defendants in some
circumstances do have a right to the assistance of a psychiatrist. Ake v.
Oklahoma, 470 U.S. 68 (1985). A majority of the court of appeals,
however, concluded that Ake did not give a defendant like Harris a right
to attack after the fact the competence of the psychiatrists who
represented him at trial. (913 F. 2d at 619-21).
(2) The majority held that Harris did not have "new evidence",
since the information suggesting he had FAS was available at the time of
the 1979 trial. (913 F. 2d at 626-27). [That, of course, was the evidence
the earlier psychiatrists did not recognize as showing that Harris might
have FAS].
(3) The majority also concluded that it was unlikely the jury's
verdict would have been different if the jury had known that Harris had
FAS. 913 F. 2d at 627.
A dissenting opinion by Judge Noonan urged that Harris should have
been afforded a hearing on his claims. Noonan argued that with the
assistance of more competent experts, who had identified FAS as the likely
diagnosis, Harris' attorney in 1979 might have been able to convince the
jury that the prosecution's diagnosis of Harris was inaccurate.
This case appears to illustrate several important problems.
First, the medical experts retained for the 1979 trial were
both psychiatrists. There is no distinct category for FAS/FAE in the
Diagnostic and Statistical Manual of Mental Disorders (DSM) on which
psychiatrists generally rely. Some Canadian judges do not regard
psychiatrists as competent to diagnose whether a defendant has FAS. Thus,
although two of the three experts who in 1990 diagnosed Harris with FAS
were psychiatrists, it is possible that the reason this diagnosis was
missed in 1979 was that Harris' attorney had consulted the wrong type of
medical expert. Unless a defense attorney both can recognize symptoms of
possible FAS, and understands what type of expert to retain to evaluate
that problem, an FAS diagnosis and defense (or mitigation factor) may well
be overlooked.
Second, the key prosecution witness at the sentencing
hearing,
also a psychiatrist, diagnosed Harris as having "antisocial personality
No. 304.8", relying on the second edition of the DSM.
The prosecution psychiatrist testified that there were eleven
characteristics of such a "sociopath." That list, quoted below, includes
many classic symptoms (underlined) of FAS. the witness stated that
"these individuals are immature, emotionally unstable,
they're callous, rather rigid at times, they're irresponsible,
impulsive, egotistical, somewhat passively aggressive at times,
they seem to have an inability to profit from past experience or
punishment. They have a very low
frustration scale, and they tend to rationalize in order to
explain their behavior and their difficulty."
(913 F. 2d at 612).
URL:
In The Interest of Jonathan M.
1998 WL 764142 (Conn. Super.)
This was an action to terminate the paternal rights of Stacie M.
in her son Jonathan. The mother had FAS; the court relied on her
difficulties in deciding to terminate her rights.
The opinion contains a detailed description of the effect of FAS
on children:
"Studies have shown that such children not only have a variety of
cognitive difficulties, but also suffer from social deficits as well. One
study found that 'they were stubborn, hard to discipline and have extreme
difficulty in respecting their own and other people's boundaries. [They]
inappropriately sought affection and demanded attention and were overly
tactile with other people.' By the time they reach adolescence, 'lack of
judgment, poor decision-making, high frustration, impulsivity, and
difficulty in perceiving social cues rendered these children at high risk
for aggressive behavior and of being co-opted by negative role
models.'"
1998 WL 764142 at *2. The quotations are from Wiley Karr-Morse,
Ghosts from the Nursery (1997).
The mother's behavioral problems are described in this opinion and
in In re Dalilah Rose N., 1996 WL
745838 (Ct. Super.).
Kearse v. State
770 So. 2d 1119 (Fla. 2000)
Kearse was convicted of murder and sentenced to death. At the
sentencing hearing Kearse attempted to prove, as a mitigating factor, that
he had FAE. The trial judge concluded that the existence of FAE had not
been proven.
In the Matter of Natasha
Milland
146 Misc. 2d 1, 146 Misc. 2d 1 (Family Ct. N.Y. Cty. 1989)
Natasha was born with FAS. The court holds that the mother is
guilty of neglect, even though the mother has never had custody of the
child. Natasha was born with severe medical problems, and at all times
was in the Neonatal Intensive Care Unit of the hospital. Her mother
continued to drink, and the court concluded the mother would be unable to
deal safely with the child's precarious physical condition.
The plaintiff agency (unidentified) offered expert testimony that
FAS can be caused "either by episodic binge drinking or the regular intake
of 2 or 3 ounces of alcohol per day." 146 Misc. 2d at 3. The mother
testified she drank 4 ounces every other day while pregnant. 146 Misc. 2d
at 6. [Is this 2, 3 or 4 ounces of beer, or whiskey, or the net ounces of
pure alcohol in the drinks? The opinion is unclear.]
The mother had been warned that drinking might harm the baby and
her own liver; her response was to cut down rather than to totally stop
drinking. She explained: "I tried to stop drinking alcohol completely and
it couldn't be done . . . . Because its hard . . . . Hard to stop
drinking just like that." 146 Misc. 2d at 7.
The court reasoned that because of the severity of the child's
medical condition, the child would be in danger if the mother drank. It
then concluded that the fact she drank during the pregnancy was evidence
she would do so later.
"The mother's prenatal misuse of alcohol and her child's condition
showing such misuse continued throughout her pregnancy make it reasonable
to infer continued use after birth."
146 Misc. 2d at 7. This assumption of continuity of alcohol use seems
inconsistent with Morris v. Dept. of Social and Health Services,
2003 WL 220958 (Wash. App. Div. 1) and with some cases regarding
ineffectiveness of counsel, which assert that knowledge that a mother
drank (even excessively) at some point in her life is not sufficient to
give counsel reason to believe she might have drunk during her
pregnancy.
Miller v. Department of Social and Health
Services
2003 WL 220958 (Wash. App. Div. 1)
The Millers sued DSHS for wrongful adoption, alleging the agency
breached its statutory obligation to disclose the health and social
history of the child they adopted. The jury found that DSHS was negligent
in failing to disclose information required by law, but concluded that the
Millers would have adopted the child even if the disclosures had been
made. 2003 WL 220958 at *1.
The trial court excluded expert testimony that the child had FAE.
The expert was a Dr. Robert Galack, who had treated the child at the
Fairfax Psychiatric Hospital. Galack knew that the mother drank before
and after the pregnancy (by then 13 years earlier), but had no specific
evidence that she drank during the 9 months of the pregnancy. Galack
thought that that was sufficient to infer that she drank during the
pregnancy.
The appellate court held that any inference that the mother drank
during pregnancy was pure speculation, and that the diagnosis of Dr.
Galack was therefore inadmissible.
"Because Phillip's birth mother drank alcohol before and after her
pregnancy, he assumed she must have consumed alcohol during the pregnancy
as well. Without evidence that Phillip's birth mother drank alcohol while
pregnant with Phillip, Dr. Galack's opinion that Phillip has fetal alcohol
effect and that this was a cause of his behavior problems was speculative
and without foundation."
2003 WL 220958 at *8. This reasoning seems in conflict with the
analysis in In the Matter of Natasha Milland, 146
Misc. 2d 1, 7-8 (Family Ct. N.Y. County 1989).
This decision highlights the need to inquire quite specifically
about alcohol use during the pregnancy in question.
Murphy v. State
54 P. 2d 556 (Okl. Crim. App. 2002)
Murphy was convicted of murder and sentenced to death. He urged
in this post-conviction proceeding, among other things, that he had been
denied the effective assistance of counsel because his trial attorney
failed to develop and offer evidence that Murphy had FAS/FAE.
The court held that any such failure by the trial attorney was not
serious enough to constitute ineffective assistance under the standard set
in Williams v. Taylor, 529 U.S. 362 (2000).
"[T]he post-conviction affidavits and evidentiary materials do not
demonstrate a failure by Petitioner's trial counsel to present mitigating
evidence of a constitutionally sufficient magnitude, as that in
Williams. . . . [J]urors were told a great deal about Petitioner's
life. The post-conviction affidavits and evidentiary materials certainly
tell us more, but that will almost always be the case when you view a
trial in hindsight."
54 P. 2d at 564. The court declined even to conduct an evidentiary
hearing on the ineffectiveness claim, holding both (1) that the actions of
the trial attorney did not fall below "professional norms" and (2) that
there was not a "reasonable probability" that the outcome would have been
different if evidence of FAS (and other mitigating evidence) had been
introduced. The second assertion, common in FAS ineffectiveness claims,
was (as usual) unexplained.
The court's analysis of the sufficiency of the trial attorney's
actions appears to rest at least in part on a misunderstanding of the
relevant science. (1) Murphy's birth mother assertedly told the attorney
she only drank two beers a day; the court seems to have assumed,
incorrectly, that this was too little alcohol consumption to cause any
harm. 54 P. 2d at 565 n. 8. See also id. (Mother told attorney her
drinking during the pregnancy was "minimal"). (2) The attorney talked
with a physician and they noted the "absence of any visible
characteristics of Fetal Alcohol Syndrome." 54 P. 2d at 565 n. 8. But
that would not rule out FAE; if they meant only that those characteristics
were not present when Murphy was an adult, their absence would not even
rule out FAS. (3) The attorney stated that family members "never
contradicted" the mother's assertion that her drinking was "minimal"; it
is unclear whether the attorney asked the family members, or whether the
family members knew what the mother had said.
Later the mother's sister described the mother as an alcoholic
during the pregnancy. This case highlights the risk in relying solely on
the birth mother for information about whether or not she drank during the
pregnancy.
A neurologist hired for purposes of the post-conviction
proceedings concluded that Murphy had FAS/FAE. The court dismissed this
diagnosis on the ground that the neurologist "apparently" relied solely on
the conflicting evidence about how much the mother drank. 54 P. 2d at 564
n. 8. This aspect of the opinion highlights the importance of making
clear what information an expert relied on in making a diagnosis.
Nelson v. State
850 So. 2d 514 (Fla. 2003)
The defendant was convicted of murder and sentenced to death. On
appeal he argued that the sentencing judge should have recognized as a
mitigating consideration the fact that, because of FAS, Nelson lacked the
capacity to appreciate the criminality of his acts.
In rejecting that contention, the appellate court noted that
"there was no documentation that Nelson actually suffered from fetal
alcohol syndrome." 850 So. 2d at 531.
[This may be a case in which there was insufficient evidence to
support an FAS-based mitigation argument.]
Adoption of Oliver
554 N.E. 2d 40, 28 Mass. App. Ct. 620 (Appeals Ct. 1990)
The appellate court affirmed a decision dispensing with the
mother's consent to Oliver's adoption. This will permit the child's
foster parents to adopt Oliver without the mother's agreement.
In reaching this conclusion, the court relied primarily on the
special needs of a child, like Oliver, with FAS. The court also gave some
weight to the mother's continued use of alcohol.
The description of the facts on which the diagnosis was based
included the following:
"[Oliver has] some of the particular facial features of such
children,
retarded growth, and some neurological dysfunction. He is
developmentally and mentally delayed. His psychological testing places
him in the borderline retarded range."
(554 N.E. 2d at 43.)
The court described Oliver's special needs in the following
passage:
"[I]t will be pivotal to Oliver's development that he live in an
enriched
environment with constant stimulation, by which the doctor meant that he
must have sustained contact with persons willing to take an active
interest in his everyday life and willing to encourage him to take
responsibility for himself."
(554 N.E. 2d at 43).
Price v. State
96 Wash. App. 604, 980 P. 2d 302 (1999)
Mr. and Mrs. Price sued the state of Washington alleging wrongful
adoption.
When the child was only a year old state officials diagnosed him
as having neurological disorders. This was not disclosed to the parents,
and after the adoption the child's pediatrician for several years detected
no problems. At the age of 5 the child was diagnosed as hyperactive. At
8 or 9, a psychologist diagnosed the child as having "conduct disorder."
As he grew older, his conduct become more destructive and uncontrollable.
He was placed on numerous medications, without success. Finally, at the
age of 14, the child was diagnosed by specialists at the Oregon Health
Sciences University as having FAE.
The main issue on appeal was whether the parents had waited too
long to sue. Although the Prices by 1991 clearly knew that the child had
neurological problems, and suspected FAS/FAE, the court concluded that it
was not until 1994 that the parents had learned enough that they were on
notice of their claim against the state.
Among other things, the state officials had been told by the
child's mother that during the pregnancy the mother had been drunk,
although the sister had not actually seen the mother in the act of
drinking. 980 P. 2d at 307. The court concluded the sister's
observations were sufficient to put the state on notice. 980 P. 2d at
311.
People v. Ray
13 Cal. 4th 313, 914 P. 2d 846, 52 Cal. Rptr. 2d 296 (1996)
Ray was convicted of murder and sentenced to death. At the
sentencing hearing Ray offered testimony by a Dr. Samuel Benson, a
psychiatrist specializing in psychopharmacology. Benson tested Ray's
brain functioning with an EEG and a CAT scan. Based on the results, and
unspecified information obtained from interviews and school and medical
records, Benson concluded that Ray had a number of different conditions,
including FAS. Benson said the overall diagnosis was "organic personality
syndrome." 13 Cal. 4th at 332.
This diagnosis played no role in the issues on appeal. It is not
clear how the prosecution responded to this evidence.
Regina v. J. (T.)
[1999] Y.J. No. 57 (Yukon Territorial Court)
Full text available on Westlaw,
1999 Carswell Yukon 99 [1999] Y.J. 57.
Sexual Offenses
At the age of 15 T.J. was charged with sexual assault for
the following incident:
"[H]e committed a sexual assault on a 15-year-old girl D.C., by
lying on her bed or on top of her, while wearing no pants. D.C. was
wearing night clothes, and there may have been a bed cover between her
and T.J.. when confronted by the complainant he exited the room quickly.
There is no indication that force was used, or that he attempted to
fondle her. This incident occurred in a group home where both young
people were residing."
Par. 4. During the seven years that followed T.J. was for a time
confined to juvenile institutions, and then returned to the custody of
his adoptive mother. There were no further complaints of sexual
misbehavior.
Sentencing
"[T.J.] was required to attend [a Canadian] residential treatment
program in Calgary for an extended period of time away from his family.
He was also placed in a transition home in Whitehorse. These placements
did not turn out to be positive experiences, as his behaviour and ability
to care for himself degenerated. For the last several years, however, he
has been living with his adoptive mother, has attended programming
provided by social services, and has had work placements with Challenge,
Yukon. In comparison with his other placements, T.J. has thrived in his
home placement."
Also, see paragraph 12 quoted below.
Symptoms of FAS/FAE
This opinion contains a detailed description of the nature and
behavioral consequences of FAS, drawn largely from published medical
journals. With the exception of certain facial abnormalities, that
description is equally applicable to FAE. The paragraph numbering is from
the opinion itself.
"9--Modern science has generally accepted the proposition that
alcohol is
a toxic substance that can permanently disable a fetus who is exposed to
it while in utero. Fetal Alcohol syndrome is the diagnosis given
to those
patients who suffer at the severe end of a continuum of disabilities
caused by maternal alcohol use during pregnancy. Three types of
characteristics are manifested by individuals with FAS: 1) general growth
deficiencies; 2) structural abnormalities, primarily facial; and 3)
central nervous system abnormalities or dysfunction. This last category
includes mental retardation, leaning disabilities, motor skills
impairment, seizures and attention deficit disorder which may or may not
be accompanied by hyperactivity. . . .
10--. . . FAS is the leading cause of mental retardation in North
America
. . . . [T]he intellectual impairment is not a matter of developmental
delay but reflective of the underlying, permanent brain damage suffered by
the FAS patient while in utero.
11--Accompanying the mental deficits is a variety of behavioural and
developmental deficiencies. The cognitive processes that most people use
to regulate their conduct and to adapt to their social environment are
located primarily in the anterior frontal lobe of the brain. The effect
of alcohol on the fetal brain is such that this region does not develop
sufficiently to allow the FAS individual to appropriately control his or
her actions. As such, FAS patients tend to be impulsive, uninhibited, and
fearless. They often display poor judgment and are easily distracted.
Difficulties in perceiving social cues and a lack of sensitive often cause
interpersonal problems.
12--FAS patients have difficulties linking events with their resulting
consequences. These consequences include both the physical, e.g. getting
burned by a hot stove, and the punitive, e.g. being sent to jail for
committing a crime. Because of this, it is difficult for these
individuals to learn from their mistakes. Lacking sufficient cognizance
of the threat or fear of consequences, the FAS patient is less likely to
control his or her impulsive behaviour. Similarly, FAS individuals have
trouble comprehending that their behavior can affect others. As such,
they are unlikely to show true remorse or to take responsibility for their
actions. . . .
14--FAS patients tend to come from unstable family situations. Nearly
one-third of FAS children never live with their biological mothers. They
are either given up for adoption at birth or abandoned at the hospital. A
recent study showed that, on average, an FAS child will have five
different principal residences. . . .
16--By the time the FAS child reaches adolescence, school has become a
significant source of frustration. The inability to master basic skills
in earlier grades makes the ordinary tasks required at the high school
level essentially impossible for FAS youth. This, coupled with the
on-going issues of social maladaptation and lack of recognition of
consequences, makes for an inhospitable learning situation predicated
largely on failure. A recent study found that 60% of FAS youth are
suspended from, expelled from, or dropped out of school. . . .
17--Troubles at school tend to diminish the FAS youth's self esteem and
to alienate him or her from the main peer group. The highly social FAS
youth is then prone to seek out friendship and acceptance with 'the wrong
crowd.' . . .
18--Individuals with FAS experience high rates of offending. One study
showed that 61% of FAS adolescents had run afoul of the law at least once.
Most frequently, this involves shoplifting and theft. A recent study in
Saskatchewan estimates that as many half the young offenders appearing in
provincial court suffer from FAS. the study found that FAS offenders were
rarely motivated by malice but were more likely to have been exploited by
smarter, more savvy criminals. Ironically, FAS offenders tend to make
model prisoners because they respond well to the structure environment. .
. .
19--As adults, a significant number of those patients with severe FAS
will never be able to live independently or obtain gainful employment.
Those who possess sufficient skills to obtain employment are at greater
risk of termination for unacceptable job performance, inattention to
detail, and/or absenteeism. . . .
20--FAS children are very demanding and needy in their school
environments and, as mentioned earlier, this tends to result in school
suspension and expulsion. Within the child welfare system, FAS children
utilize a disproportionate share of resources and are often shuffled over
to the Young Offenders system. As adults they often end up living on the
street or in jail due to a dea[r]th of homes which provide
semi-independent living."
Paragraph 9 is incorrect in one detail. FAS is not at the more severe
end
of the disabilities caused by maternal use of alcohol; rather, FAS is
associated with affected individuals who have certain facial
abnormalities. Among the entire population with FAS or FAE, the cognitive
impairments among those with FAS is not significantly higher than among
those with FAE.
Risinger v. Concannon
201 F.R.D. 16 (2001)
This is a lawsuit brought by the parents of a child who suffered
from a number of different conditions, including FAS and Attention Deficit
Hyperactivity Disorder. The suit asserted that Maine state officials had
failed to provide certain benefits under the Early and Periodic Screening,
Diagnosis and Treatment provision of the federal Medicaid Act. Those
benefits include screening, case management and in-home mental health
services.
The decision certified the case as a class action. No decision
was made on the merits of the dispute
Roelandt v. Apfel
125 F. Supp. 2d 1138 (S.D. Iowa 2001)
This case sought benefits for a child under the Supplemental
Security Income (SSI) provisions of the Social Security Act. The benefits
were sought in 1996, when the child was 9. The Social Security
Administration denied SSI benefits, but the federal court awarded them.
The child apparently had a classic case of FAS. The diagnosis
included "several dysmorphic features, including narrow bifrontal diameter
grossly, nail hypoplasia, narrow palpebral fissure, ptosis, thin upper
lip, flat mid-face, smooth filtrum, short nose, and unruly scalp hair."
125 F. Supp. at 1142.
The child was also diagnosed with attention deficit hyperactivity
disorder. Although he had a normal IQ (104), his reading level was
extremely poor. While an average student of the child's grade level could
read 100 correct words per minute, the child read only 43 words a minute
with 7 errors. Atypically, he was doing math at grade level.
The court concluded the child was disabled within the meaning of
the SSI statute because there was a marked degree of disability in two
areas, "attending and completing tasks" and "interacting and relating with
others." 125 F. Supp. at 1147-48.
URL:
In re Sahvanna
2003 WL 231302 (Cal. App. 3 Dist.)
In this proceeding to terminate the parental rights of the father
of several children, the court noted that most of the children had
symptoms of FAS, "including broad foreheads, eyes set far apart,
developmental delays, and the children were small for their ages." 2003
WL 231302 at *1.
A social worker involved in the case concluded that the FAS
symptoms would might make it more difficult to locate an adoptive home.
2003 WL at *6. However, subsequently two of the children were placed in a
prospective adoptive home.
In the Matter of the Adoption of
T.J.F.
798 N.E. 2d 867 (Ind. Ct. App. 2003)
The court's findings of fact included the following:
"Fetal Alcohol syndrome . . . has caused [T.H.] to have delays in
psychological development and maturation which includes developmental
delays in social interaction and academic developments."
798 N.E. 2d at 870.
"FAS children generally have difficulty sorting out realistic
perceptions
and social/relational situations and often misinterpret their environment.
They require routine and consistency which are crucial to healthy
developmental process."
Id.
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