Federal Circuits, 5th Cir. (July 08, 1980)
Docket number: 78-2063
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U.S. Supreme Court - Mathews v. Eldridge, 424 U.S. 319 (1976)
U.S. Supreme Court - Cleveland Bd. of Ed. v. LaFleur, 414 U.S. 632 (1974)
U.S. Supreme Court - United States v. Kras, 409 U.S. 434 (1973)
Jim Smith, Atty. Gen., Sidney H. McKenzie, III, Asst. Atty. Gen., Dept. of Legal Affairs, Tallahassee, Fla., for defendants-appellants.
Florida Rural Legal Services, Delray Beach, Fla., Michael R. Masinter, Florida Rural Legal Services, Inc., Perrine, Fla., Miami, Fla. (effective July 15, 1978), for plaintiffs-appellees.Appeal from the United States District Court for the Southern District of Florida.Before TUTTLE, BROWN and TATE, Circuit Judges.TUTTLE, Circuit Judge:This is an appeal from a Florida district court's ruling that the Federal Constitution requires that indigent parents in child dependency proceedings be provided with counsel in all cases unless they waive that right, beginning immediately following service of a petition on the parent or seizure of the child. The trial court also ruled that the plaintiffs were entitled to a reasonable attorney's fee, pursuant to the Civil Rights Attorney's Fees Awards Act, P.L. No. 94-559, 42 U.S.C. § 1988 as amended. We affirm the holding of the trial court except as to the award of attorney's fees.On January 30, 1976, Hilary Davis, the mother of Carl Thor Davis left her husband after he hit their 14-month-old child and broke the child's arm. After she turned to the state for assistance, the State initiated a dependency proceeding under Fla.Stat.Ann. § 39.01 et seq. (West 1974) seeking to obtain custody of the child. At the initial hearing on February 4, 1976, in the Juvenile and Family Division of the Dade County Circuit Court, custody of the child was granted to the Florida Department of Health and Rehabilitative Services, pending a formal hearing on March 4. Hilary Davis was indigent and was unable to obtain counsel for this preliminary adjudicatory hearing. The judge did not offer to appoint counsel for her at this hearing, but he did advise her to have counsel present at the formal hearing.The plaintiff, because of her poverty, was unable to hire counsel for the March 4 hearing. She tried to secure an attorney through a legal services office, but was unsuccessful. Thus she appeared at the formal hearing without counsel. The circuit judge never asked her at the hearing about the failure to obtain counsel.Under Florida law, pursuant to Fla.Stat.Ann. § 39.05(4) and 39.09(1)(b), while the state is represented by counsel at such a proceeding, the judge is not required to appoint counsel to represent indigent parents.1According to the district court opinion, "without benefit of counsel, Hilary Davis was little more than a spectator in the adjudicatory proceeding. She was ignorant of the law of evidence, and of the substantive law governing dependency proceedings. She sat silently through most of the hearing, and fearful of antagonizing the social workers, reluctantly consented to what she believed would be the placement of her child with the state for a few weeks." Davis v. Page, 442 F.Supp. 258, 260-61 (S.D.Fla.1977). Ms. Davis evidently thought the state would take custody of the child for a few weeks while she found a new place to live and a job. She was unaware that a finding committing the child to the temporary custody of the state pursuant to Fla.Stat.Ann. § 39.10(4) and 39.11(1)(c) left the child in the state's custody "until terminated by the court or until the child reaches 18." See Davis v. Page, 442 F.Supp. 258, 261 (S.D.Fla.1977). At the conclusion of the hearing, the court told Ms. Davis to contact a lawyer. She was not informed, however, of her right to appeal under Fla.Stat.Ann. § 39.14(1).After the hearing, the child was adjudicated dependent and custody was given to the Department of Health and Rehabilitative Services (D.H.R.S.). Ms. Davis subsequently obtained counsel and filed a petition for writ of habeas corpus in the Florida Supreme Court seeking return of her son. That petition was denied. She subsequently filed suit in federal court on two counts. First, she sued officials of the D.H.R.S. in order to regain custody of her son. Second, she filed a class action on behalf of all indigent parents who were defendants in child dependency and neglect proceedings seeking a declaratory judgment that counsel must be afforded to them at state expense in these proceedings. Named as defendants in the second count were the judges of the Juvenile and Family Division of the Circuit Court of Dade County, Florida, acting in their official capacity. The plaintiff also sought to enjoin dependency hearings in which counsel was not provided to indigent parents.During the course of the proceedings in the United States court, custody was restored to Ms. Davis, subject to supervision by the state and the continuing jurisdiction of the state Circuit Court. By the time the child was returned to her, she had been deprived of custody for a full year.On the second charge, the United States court found first that the "right of family integrity" given constitutional protection under the Fourteenth Amendment, see May v. Anderson, 345 U.S. 528, 73 S.Ct. 840, 97 L.Ed. 1221 (1953); Meyer v. Nebraska, 262 U.S. 390, 43 S.Ct. 625, 67 L.Ed. 1042 (1923), required strict scrutiny of the procedural safeguards required in these proceedings. Goldberg v. Kelly, 397 U.S. 254, 90 S.Ct. 1011, 25 L.Ed.2d 287 (1970). Applying strict scrutiny, the court reasoned that the right to counsel was an essential element of the procedural due process required in these proceedings. The court then concluded that while a dependency proceeding was not a criminal proceeding, it was substantially similar and that therefore, as in criminal cases, counsel had to be provided to indigent parents. See Griffin v. Illinois, 351 U.S. 12, 76 S.Ct. 585, 100 L.Ed. 891 (1956). Finally, the court ruled that counsel should be provided to indigent parents in all dependency proceedings, rather than assigned on a case-by-case basis. The court said such a right could not be waived prior to notice and that such a waiver to be effective had to be "knowing and intelligent." See Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938). The court also said that counsel had to be made available "immediately following service of the petition or seizure of the child.2" 442 F.Supp. at 265.An amended final judgment was entered in this case on January 25, 1978. Department of Health and Rehabilitative Services' officials acquiesced in the judgment and are not parties to this appeal.Counsel for the Circuit Judges, without discussing the matter with his clients, determined on the basis of his research, not to appeal the judgment. On March 3, the plaintiff moved for civil contempt to enforce compliance with the final judgment. However, after finally discussing the matter with his clients, defense counsel for the judges decided to appeal. On March 22, the judicial defendants filed both a notice of appeal and a motion to extend the time within which to appeal under Federal Rules of Appellate Procedure 4(a). The district court granted the extension on the ground that defense counsel's failure to appeal constituted excusable neglect.I.The appellee argues first in a motion to this Court that the district court's granting of an extension to appeal beyond the usual 30 days constituted an abuse of discretion. Under the Federal Rule 4(a) applicable at the time:. . . Upon a showing of excusable neglect, the district court may extend the time for filing the notice of appeal by any party for a period not to exceed 30 days from the expiration of the time otherwise prescribed by this subdivision. . . .The appellee urges that the failure to appeal in this case was not "excusable neglect," since the defendants' counsel, the Attorney General's office of Florida, reached this decision after thoughtful research and deliberation based on legal research.We think the trial court decided this issue correctly. This standard of "excusable neglect," incorporated into the rule in 1966, was intended to broaden the former rule that defined excusable neglect only as "the failure of a party to learn of the entry of judgment.3" The "change was made because experience has revealed that there are a number of other situations in which tardiness is excusable and in which it is unfair to dismiss an appeal because of late filing of the notice." Stern, Changes in the Federal Appellate Rules, 41 F.R.D. 297, 298 (1967). Although the "excusable neglect" standard is still a strict one, this Court has held that a "showing of . . . unique circumstances may render it unfair to dismiss an appeal because of late filing of the notice." Chipser v. Kohlmeyer & Co., 600 F.2d 1061, 1063 (5th Cir. 1979). It has also been suggested that the "matter rests largely in the discretion of the district court. If it finds excusable neglect and grants an extension, the Court of Appeals should not second-guess this determination. . . ." 16 Wright, Miller, Cooper and Gresman, Federal Practice and Procedure § 3950, at 367 (1977). This standard of appellate deference to the discretion of the district court has been adopted by this Court. Gann v. Smith, 443 F.2d 352, 353 (5th Cir. 1972).We also note that effective August 1, 1979, the Supreme Court amended Rule 4(a) to provide that the time for appeal may be extended, not only for a showing of "excusable neglect," but also for a showing of "good cause." Although that amendment does not apply to this case since the district court made its ruling before August 1, we note that the change indicates that the standard should be interpreted flexibly. See also Chipser v. Kohlmeyer, 600 F.2d at 1063 n.2.Although the district court filed no opinion in its decision to extend the time for appeal of this motion, its decision must have been based on the fact that counsel for the defendants never even discussed a possible appeal with his clients until after the filing date had passed. Given the standard of deference accorded to district courts in these matters and the recent broadening of the standard in the Rule to promote flexibility, we cannot find that the district court abused its discretion.II.The state's primary contention on appeal is that the district court erred in holding that there is a right to counsel for indigent parents in dependency proceedings. In determining this issue, our first inquiry is whether the appellee has asserted an interest which is within the Fourteenth Amendment's protection: "(T)o determine whether due process requirements apply in the first place we must look not to the "weight" but to the nature of the interest at stake. . . . We must look to see if the interest is within the Fourteenth Amendment's protection of liberty and property." Smith v. Organization of Foster Families for Equality & Reform, 431 U.S. 816, 841, 97 S.Ct. 2094, 2107-2108, 53 L.Ed.2d 14 (1977), (citing Board of Regents v. Roth, 408 U.S. 564, 570-71, 92 S.Ct. 2701, 2705, 33 L.Ed.2d 548 (1972)). There can be no doubt that Ms. Davis has a constitutionally protected liberty interest at stake in the dependency proceeding the right to family privacy or the integrity of the family unit.As early as 1923, the Supreme Court recognized the fundamental nature of this interest when it held that the liberty guaranteed by the Fourteenth Amendment "denotes not merely freedom from bodily restraint but also the right of the individual . . . to marry, establish a home and bring up children." Meyer v. Nebraska, 262 U.S. 390, 399, 43 S.Ct. 625, 626, 67 L.Ed. 1042 (1923); see Pierce v. Society of Sisters, 268 U.S. 510, 518, 45 S.Ct. 571, 69 L.Ed. 1070 (1925).Following that pronouncement the Court in decisions involving various aspects of family life has accorded paramount importance to the familial relationship. See Cleveland Board of Education v. LaFleur, 414 U.S. 632, 94 S.Ct. 791, 39 L.Ed.2d 52 (1974); Wisconsin v. Yoder, 406 U.S. 205, 92 S.Ct. 1526, 32 L.Ed.2d 15 (1972); Eisenstadt v. Baird, 405 U.S. 438, 92 S.Ct. 1029, 31 L.Ed.2d 349 (1972); May v. Anderson, 345 U.S. 528, 73 S.Ct. 840, 97 L.Ed. 1221 (1953); Skinner v. Oklahoma, 316 U.S. 535, 62 S.Ct. 1110, 86 L.Ed. 1655 (1942). This protectiveness was illustrated by the Court's discussion of the nature of the interest involved in Stanley v. Illinois :The private interest here that of a man in the children he has sired and raised, undeniably warrants deference and, absent a powerful countervailing interest, protection. It is plain that the interest of a parent in the companionship, care, custody, and management of his or her children "come(s) to this Court with a momentum for respect lacking when appeal is made to liberties which derive merely from shifting economic arrangements."405 U.S. 645, 651, 92 S.Ct. 1208, 1212, 31 L.Ed.2d 551 (1972). The fundamental right of family integrity has found protection under the Due Process Clause of the Fourteenth Amendment Smith v. Organization of Foster Families for Equality & Reform, 431 U.S. 816, 842, 97 S.Ct. 2094, 2108, 53 L.Ed.2d 14 (1977), the Equal Protection Clause of the Fourteenth Amendment Skinner v. Oklahoma, 316 U.S. 535, 541, 62 S.Ct. 1110, 1113, 86 L.Ed. 1655 (1942), and the Ninth Amendment see Roe v. Wade, 410 U.S. 113, 153, 93 S.Ct. 705, 726, 35 L.Ed.2d 147 (1973). See Stanley v. Illinois, 405 U.S. 645, 651, 92 S.Ct. 1208, 1212, 31 L.Ed.2d 551 (1972).Having determined that parents have a fundamental liberty interest protected by the due process clause of the Fourteenth Amendment in the custody of their children we must now decide whether the process that is due a parent in a dependency proceeding includes the right to counsel. In order to make this determination, we begin with an analysis of the precise nature of the government's interest and of the private interest involved. Cafeteria & Restaurant Workers Union v. McElroy, 367 U.S. 886, 895, 81 S.Ct. 1743, 1748, 6 L.Ed.2d 1230 (1961). In Mathews v. Eldridge, 424 U.S. 319, 96 S.Ct. 893, 47 L.Ed.2d 18 (1976), the Supreme Court announced a general formula to be used in weighing these competing interests: (I)dentification of the specific dictates of due process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government's interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.Id. at 335, 96 S.Ct. at 903.The discussion above illustrates that a parent's interest in the custody of his or her child is among the most basic and fundamental of the liberties protected by the Constitution. Loss of a child is one of the severest possible sanctions that can be taken against a parent; it is a deprivation which can be equated with imposition of a fine or imprisonment through criminal proceedings. Indeed it is not unlikely that many parents would choose to serve a prison sentence rather than to lose the companionship and custody of their children. In addition the determination that a parent has abused or neglected a child may lead to criminal proceedings against the parent4, and certainly carries with it a stigma which may be as traumatizing to the parent as imprisonment. Since the process that is due an individual is influenced by the extent to which the person "may be 'condemned to suffer grievous loss,' " Goldberg v. Kelly, 397 U.S. 254, 263, 90 S.Ct. 1011, 1018, 25 L.Ed.2d 287 (1970), the state's interest in refusing to provide counsel in dependency proceedings must be great in order to overcome the parent's interest in protecting the family unit.We must also consider the risk that a parent will erroneously be deprived of custody of a child under the present procedures, and the probable value of counsel in preventing an erroneous result. A careful consideration of the Florida dependency proceeding will reveal the indigent parent's need for the assistance of counsel.5 Section 39.09 of the Florida Statutes provides that adjudicatory hearings to determine dependency are to be conducted by the judge without a jury, applying the rules of evidence generally used in civil cases. Fla.Stat.Ann. § 39.09 (West 1974). If the petition alleging dependency is contested by the parent, the state is represented by the state attorney. Id. § 39.05. The state must prove its case by a preponderance of the evidence. Id. § 39.09. Once a child has been adjudicated dependent, the court retains jurisdiction until the child reaches the age of 18 or is released by court order. If the court finds that the child is dependent, it may (1) place the child in his own home or the home of a relative under protective supervision; (2) commit the child to child-care agency; (3) commit the child to the temporary legal custody of the department of family services; or (4) permanently commit the child to the department of family services or to a child-placing agency. Id. § 39.11. In order to regain custody of a child after an adjudication of dependency, a parent must petition the court to return the child through a disposition hearing. See id. § 39.09(3) In a disposition hearing, the parent does not have the opportunity to relitigate the underlying adjudication of dependency; rather, the disposition hearing is an opportunity to prove that, because of subsequent developments, restoration of custody is in the best interest of the child. While the state bears the burden of proof in an initial adjudicatory hearing, the parent seeking restoration of custody bears the burden of proof in a disposition hearing. Evidence which is inadequate to sustain a finding of dependency nevertheless may be adequate to sustain denial of a petition for restoration of custody. In Pendarvis v. State, 104 So.2d 651 (Fla.Dist.Ct.App.1958), the Florida court refused to restore a child to the custody of its parents, holding:Once a child has been lawfully declared to be a dependent or delinquent child, it becomes a ward of the state and a broad discretion is vested in the juvenile court to do those things which appear to the court to be in the best interest of the child. The question of who is a proper person to have the care and custody of such child is not one that can be directed by the whim, fancy, or caprice of those who had the responsibility and right under God's, nature's, and man's law to nurture, care for, and support their offspring, and who by their own making have forfeited that right and cast the responsibility upon others. Evidence that may be totally inadequate to deprive a parent of the custody of his child in the first instance may be altogether adequate to support the court's refusal to restore custody to the parent once the child has become a ward of the state.Id. at 652.The dependency proceeding is complex in terms of the procedural, evidentiary and substantive law applicable to the hearing. In addition to this confusing legal framework, the parent is confronted with "the full panoply of the traditional weapons of the state." Danforth v. State Department of Health & Welfare, 303 A.2d 794, 799 (Me.1973). The state is represented by the state attorney; it has access to public records concerning the family and to the services of social workers, psychiatrists, and psychologists. Those representing the state have experience in legal proceedings and the ability to examine witnesses, present evidence, and argue skillfully that the child should be adjudicated dependent. Unrepresented parents, in contrast, will normally not cross-examine witnesses, submit evidence, call witnesses, or present a defense. They do not understand the rules of procedure or substantive law. They do not object to improper questions or move to strike improper testimony. As the trial court here found to be true of Hilary Davis, they may not even understand the legal significance and effect of the proceedings.Unless the indigent parent has the tools necessary to oppose the state's expert presentation, a finding of dependency could be based partially upon inadmissible hearsay, improper opinion evidence, or evidence irrelevant to the issue of dependency. A determination of dependency might be founded upon testimony that a skilled attorney would expose as biased or untrue. The parent may have a defense sufficient to prevent an adjudication of dependency, which he or she is unable adequately to present. Furthermore, once a finding of dependency is made upon such improper or insufficient evidence, the parent may face difficult problems in regaining custody of the child. According to the court in Pendarvis, evidence which was not legally sufficient to support a finding of dependency may nonetheless be sufficient to refuse a return of the child to its parents. Thus, a parent might lose a proceeding that he would have won with the assistance of counsel, and then be unable to regain custody of the child even with the assistance of counsel.6The value of counsel in a dependency proceeding is inestimable. The words of the Court in Powell v. Alabama, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158 (1932) explaining the need for counsel in criminal cases, are equally descriptive of the plight of a parent in a dependency proceeding:The right to be heard would be, in many cases, of little avail if it did not comprehend the right to be heard by counsel. Even the intelligent and educated layman has small and sometimes no skill in the science of law. If charged with crime, he is incapable, generally, of determining for himself whether the indictment is good or bad. He is unfamiliar with the rules of evidence. Left without the aid of counsel he may be put on trial without a proper charge, and convicted upon incompetent evidence, or evidence irrelevant to the issue or otherwise inadmissible. He lacks both the skill and knowledge adequately to prepare his defense, even though he have a perfect one. He requires the guiding hand of counsel at every step in the proceedings against him. Without it, though he be not guilty, he faces the danger of conviction because he does not know how to establish his innocence.Id. at 68-69, 53 S.Ct. at 64. Just as does a defendant in a criminal case, or a child in a delinquency proceeding, the parent in a dependency hearing "needs the assistance of counsel to cope with problems of law, to make skilled inquiry into the facts, to insist upon regularity of the proceedings, and to ascertain whether he has a defense and to prepare and submit it." In re Gault, 387 U.S. 1, 36, 87 S.Ct. 1428, 1448, 18 L.Ed.2d 527 (1967).The fundamental interest of the parents implicated in dependency proceedings and the possibility of an erroneous adjudication of dependency must be balanced against any interest that the state may have in conducting summary proceedings. The state's primary interest in conducting these proceedings is to protect the health and welfare of the child an interest which will not be affected by the appointment of counsel for indigent parents. The only interest of the state that would be seriously affected by provision of counsel is the interest in economy. While it is certainly true that appointment of counsel for indigent parents will require additional expenditures by the state, we simply cannot agree with the state's contention that its interest in saving public money outweighs the parents' interest in not being unfairly deprived of the custody of a child. "For the State to intrude permanently or only temporarily in a manner designed to disassemble the nuclear family, society's most basic human and psychological unit without affording counsel and guidance to a class of society's least equipped adversaries" constitutes a denial of fundamental due process.7Imposition of the obligation to provide counsel finds support in the decisions of the Supreme Court involving right to counsel. Development of the constitutional right to assistance of state-provided counsel began with the Court's decision in Powell v. Alabama, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158 (1932) that an indigent defendant who is unable to make his own defense in a capital case must have appointed counsel. Id. at 71, 53 S.Ct. at 65. It is now settled law that an indigent criminal defendant threatened with imprisonment is entitled to appointed counsel in both federal and state prosecutions. Argersinger v. Hamlin, 407 U.S. 25, 92 S.Ct. 2006, 32 L.Ed.2d 530 (1972); Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963); Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938). In In re Gault, 387 U.S. 1, 87 S.Ct. 1428, 18 L.Ed.2d 527 (1967), the Supreme Court extended the right to counsel to juveniles in delinquency proceedings. Although delinquency proceedings are considered civil rather than criminal, the serious consequences of a finding of delinquency were held to mandate the assistance of counsel. Id. at 36, 87 S.Ct. at 1448. While it is obvious that the constitutional mandate for procedural protections increases as a proceeding approaches the nature of a criminal prosecution, the Court has rejected a rigid civil-criminal distinction in determining what process is due an individual. In McKeiver v. Pennsylvania, 403 U.S. 528, 91 S.Ct. 1976, 29 L.Ed.2d 647 (1971), Justice Blackmun emphasized that the label affixed to an action would not be controlling: "Little, indeed, is to be gained by any attempt simplistically to call the juvenile court proceeding either 'civil' or 'criminal.' The Court carefully has avoided this wooden approach." Id. at 541, 91 S.Ct. at 1984.We cannot accept the state's argument that the right to appointed counsel should be limited solely to cases designated "criminal." The Supreme Court has rejected this technical approach in favor of a test which looks to the nature and impact of the proceeding. Although a dependency proceeding is denominated a civil proceeding, we find that the possible deprivation of liberty rights inherent in a dependency proceeding closely resembles the loss of liberty which attends a criminal proceeding. We therefore hold that an indigent parent in a dependency proceeding is entitled to appointment of counsel, absent a knowing and intelligent waiver of that right.8We also note that the equal protection clause of the Fourteenth Amendment supports a rule requiring the provision of counsel to indigent parents in dependency proceedings. In Griffin v. Illinois, 351 U.S. 12, 76 S.Ct. 585, 100 L.Ed. 891 (1956), the Supreme Court held that the equal protection clause requires the state to furnish free transcripts to indigent criminal defendants who appeal their convictions. Id. at 19, 76 S.Ct. at 590. Subsequently, the Court expanded this ruling to hold that a state must furnish counsel to incarcerated indigent criminal defendants in appeals provided of right. "There is lacking that equality demanded by the Fourteenth Amendment where the rich man, who appeals as of right, enjoys the benefits of counsel's examination into the record, research of the law, and marshalling of arguments on his behalf, while the indigent, . . . is forced to shift for himself." Douglas v. California, 372 U.S. 353, 357-58, 83 S.Ct. 814, 817, 9 L.Ed.2d 811 (1963). In Mayer v. City of Chicago, 404 U.S. 189, 92 S.Ct. 410, 30 L.Ed.2d 372 (1971), the Court extended the Griffin rationale to criminal appeals involving only a fine. The Court rejected the city's argument that Griffin should be limited to cases in which a defendant is sentenced to confinement. The Court felt that this argument misconceived the principle set forth in Griffin that invidious discrimination exists when an effective appeal is made available only to those who can afford the appeal. Id. at 196-97, 92 S.Ct. at 415-16. The Court also emphasized the practical effects and serious collateral consequences that may attend imposition of a fine in a criminal proceeding. Id. We have already discussed that the child dependency proceeding "by its very nature resembles a criminal prosecution," Meltzer v. C. Buck LeCraw & Co.,Try vLex for FREE for 3 days
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