Understanding Rule 11 and the Guilty Except Insane Defense in Arizona
The intersection of mental health and criminal law is a complex and often misunderstood part of our justice system. As a criminal defense attorney in Arizona, I have seen firsthand how individuals struggling with serious mental illness can find themselves facing charges for behavior that stems more from untreated or misunderstood conditions than from criminal intent.
In this post, I want to share some lessons from a recent case (generalized to protect confidentiality) and explain important legal principles that every family should know — particularly when mental health may be a factor in a criminal case.
Mental Health Is Not a Moral Failing —
It's a Legal Issue
Mental illness isn't just a personal struggle; in many cases, it has real and serious legal consequences. Arizona law recognizes that a person who cannot understand the proceedings against them or assist their lawyer in defending them may not legally stand trial.
Similarly, in some rare cases, Arizona law allows a person to be found Guilty Except Insane (GEI) if they were suffering from a mental disease or defect at the time of the crime that made them incapable of understanding that their actions were wrong.
Unfortunately, these protections only help if someone recognizes the signs, raises the issue properly, and fights for the client's rights — which is where having an experienced attorney becomes essential.
Competency to Stand Trial Under Arizona Rule 11
Competency to stand trial is different from mental illness generally. A person can be mentally ill but still competent to proceed through the legal system. Under Rule 11 of the Arizona Rules of Criminal Procedure, a defendant must be able to:
Understand the nature and object of the proceedings against them, and
Assist in their own defense in a reasonable and rational manner.
If reasonable grounds exist to question a defendant's competency, the court can order a mental health evaluation and a hearing to determine whether the defendant is legally competent.
What Might Raise Concerns About Competency?
In a recent case I handled, several serious concerns arose:
The client entered a stranger's home under the mistaken belief it was his own.
He took a bath and was completely disoriented when police arrived.
He did not recognize the police as legitimate because their uniforms were different from what he expected.
He suffers from known psychiatric disorders including epilepsy and schizophrenia and is prescribed multiple psychiatric medications, including Seroquel, Thorazine, Prozac, and Gabapentin.
During conversations, he would stop mid-sentence, stare into space, and forget what we were discussing moments earlier.
He expressed fears about his ability to distinguish reality, reporting conversations with supernatural beings.
After a long meeting where we discussed his case strategy, he suddenly lost track of what we had talked about and asked, "Wait, what were we talking about?"
These are not minor quirks — they are serious red flags indicating that the defendant may not currently have the mental capacity to proceed with his defense.
The Importance of Raising Competency Issues Early
As a defense attorney, it's critical to raise concerns about competency as soon as there is a reasonable basis to question it. If the issue is ignored, a defendant might:
Accept a plea they don't understand,
Fail to meaningfully assist in their defense at trial,
Be convicted and sentenced without the court ever recognizing that they legally should not have proceeded to trial in the first place.
In Arizona, if the court finds that a defendant is incompetent but restorable, they may order mental health treatment aimed at restoring competency. The case is paused while efforts are made to help the defendant understand the proceedings and assist counsel.
Beyond Competency:
What About "Guilty Except Insane"?
In some cases, a person's mental illness isn't just relevant to whether they can stand trial — it may also be a defense to the charges themselves.
Arizona recognizes the Guilty Except Insane (GEI) defense under A.R.S. § 13-502. This defense requires proof that:
At the time of the offense,
The defendant suffered from a mental disease or defect,
Which prevented them from knowing that their criminal act was wrong.
Importantly, "wrong" includes both legal wrong and moral wrong as understood by community standards.
What Does "Knowing Wrongfulness" Mean?
Legal wrong: Understanding that the act violated the law.
Moral wrong: Understanding that society considers the act morally unacceptable.
If a defendant could not appreciate either — because of a serious mental disorder — they may be found Guilty Except Insane.
But GEI Is Hard to Prove
Unlike competency, where the burden is simply raising "reasonable grounds," the GEI defense requires the defendantto prove their insanity by clear and convincing evidence — a much higher burden.
It often requires:
Extensive psychological evaluation,
Expert witness testimony,
Historical medical records,
Evidence about the defendant's state of mind at the exact time of the offense.
Simply being diagnosed with a mental illness — or even behaving oddly — is not enough. The defense must show that the mental illness was so severe that the defendant could not recognize their conduct as wrong.
Why This Matters:
Protecting Clients With Serious Mental Illness
In the case mentioned earlier, it was clear that the client struggled both before and after the alleged offense. He misunderstood court proceedings, exhibited disorganized thinking, and made concerning statements like, "Courtrooms are just a show, everything is decided already."
He fired his first attorney because he believed the lawyer was lying and colluding with the prosecutor — another possible sign of distorted thinking.
Without intervention, this client could have proceeded through the criminal system without anyone recognizing he lacked the capacity to stand trial — or that he might have been legally insane at the time of the offense.
That’s unacceptable.
Mental health issues deserve real legal attention, not just sympathy. It’s the defense attorney’s role to advocate for fair treatment, which sometimes means pressing pause on criminal proceedings to ensure constitutional rights are protected.
Lessons for Families and Defendants
Here are a few takeaways if you or someone you love is facing charges and has mental health struggles:
1. Take Mental Health Seriously in the Legal Context
Mental illness affects more than behavior. It can legally change what is possible and what defenses are available.
Telling your attorney everything you know about diagnoses, medications, hospitalizations, and past mental health treatment is crucial.
2. Know the Signs of Incompetency
Confusion about basic court procedures.
Inability to recall discussions about the case.
Paranoia about the court system or attorneys.
Difficulty communicating clearly or logically.
If you notice these signs, your attorney needs to know immediately.
3. Understand That Not All Attorneys Raise Mental Health Issues
Some lawyers might overlook competency if the client seems mostly cooperative or is eager to resolve the case.
Others might not feel comfortable pursuing a GEI defense due to the complexity involved.
Make sure your attorney has the experience — and the willingness — to explore these issues fully.
4. Don’t Be Afraid to Ask About Rule 11 and GEI
If you believe mental illness played a role, ask your lawyer: "Do you think a Rule 11 evaluation is appropriate?" or "Would GEI be worth exploring based on what we know?"
Good attorneys will be happy to talk through these options with you.
Justice Requires More Than Just Speed —
It Requires Fairness
When mental health conditions are ignored in criminal cases, real injustice happens. Individuals who should receive treatment end up incarcerated. Constitutional rights are violated. Families are devastated.
At AJB Law Firm, I believe every client deserves to have their mental health fully considered — not as an excuse, but as part of what true justice demands. If you're facing a criminal charge and have concerns about competency, mental illness, or insanity defenses, don't wait.
Reach out today. Let's make sure your rights — and your story — are heard the way they deserve to be.
