In re Brock
- Reporters:
- ,
- Before:
- Riley
The Department of Social Services and the guardian ad litem appeal from the Court of Appeals decision reversing the probate court‘s orders of jurisdiction and placement of respondents’ minor children in foster care.1 We reverse the Court of Appeals decision and uphold the orders of the probate court.
I
This child protective proceeding was initiated by two reports to the Department of Social Services by respondents’ neighbor, who also occasionally baby-sat the minor children. The referent‘s first contact with the DSS, in November 1990, reported “soft signs” of possible sexual abuse: complaints by the older child that her private areas hurt,2 blood on her sheets, and the referent‘s observations that the child‘s vagina was red and swollen. Because some of the instances described occurred well before the report and because they were not conclusive signs of child abuse, the referent was instructed to contact the DSS if further indications of abuse arose. Shortly thereafter, the referent notified a social worker to report additional concerns. And in January 1991, during an interview with the DSS regarding her concerns, the referent indicated that the child had spontaneously declared
The probate court acquired jurisdiction over both children following a jury finding in an adjudicative proceeding. The foster care of the children was continued in the subsequent dispositional hearing.
Respondents appealed the finding of jurisdiction on various grounds. The Court of Appeals reversed the orders of the probate court and remanded for a new trial. 193 Mich App 652; 485 NW2d 110 (1992). In an order entered July 28, 1992, this Court granted the application for leave to appeal limited to the following two issues:
(1) whether the respondents had a right to confront their daughter at the adjudication stage of these proceedings and, if so, whether that right was violated by the special arrangements approved by the court, and (2) whether the trial court erred in admitting the testimony of respondent Carol Brock‘s psychologist and physician.[5]
II
Respondents first contend that their constitutional
At the hearing regarding special arrangements for testimony of the older child, Lieutenant Robin Presley, a clinical social worker with the Air Force, testified that the child would not be capable of responding to questions asked by attorneys or by the court.8 Lieutenant Presley also testified that the child would be unable to testify in the courtroom because of trauma stemming from her lack of understanding of the physical aspects of the courtroom, the various people in the courtroom, the consequences of what she would be saying, and the courtroom vocabulary. She further testified that it would be traumatic for the child to be confronted with the alleged perpetrators, her parents, and that this trauma of a courtroom appearance would impair later treatment. Moreover, Lieutenant Presley indicated that she believed that the presence of attorneys during an interview and any cross-examination would also be traumatic and impair further treatment. She opined that questioning by a person skilled in interviewing children would elicit the most complete response.
The Court of Appeals held that in the absence of cross-examination, as well as a face-to-face confrontation, respondents’ federal and state due process rights were violated. We disagree.
Child protective proceedings are not criminal proceedings.
Child protective proceedings are generally divided into two phases: the adjudicative and the dispositional. The adjudicative phase determines whether the probate court may exercise jurisdiction over the child. If the court acquires jurisdiction, the dispositional phase determines what action, if any, will be taken on behalf of the child. Substantial effort is expended to improve the home situation in order to return children to the custody of their parents if at all possible. See Jacobs, supra at 38. Respondents may demand a jury determination of the facts in the adjudicative phase, but no jury is allowed at the dispositional hearings.
It is well established that parents have a significant interest in the companionship, care, custody, and management of their children. This interest has been characterized as an element of “liberty” to be protected by due process. Reist v Bay Circuit Judge, 396 Mich 326, 342; 241 NW2d 55 (1976).
Clearly any legal adjustment of their mutual rights and obligations affects a fundamental human relationship. The rights at stake are “protected” and encompassed within the meaning of the term “liberty” as used in the Due Process Clause.
Hence, the question at issue is what procedural due process requirements are implicated in the adjudicative phase of a child protective proceeding wherein a court may acquire jurisdiction over a child.
Although due process often requires confrontation and cross-examination, these are not absolute requirements, Willner v Committee on Character & Fitness, 373 US 96, 103-104; 83 S Ct 1175; 10 L Ed 2d 224 (1963) (Goldberg, J., concurring at 106), even in Sixth Amendment analysis. Coy v Iowa, 487 US 1012, 1020; 108 S Ct 2798; 101 L Ed 2d 857 (1988) (“rights conferred by the Confrontation Clause are not absolute, and may give way to
Respondents contend that their right of due process15 includes the right to confront the witnesses against them in an adjudicative proceeding. Although we do not hold that such confrontation is unnecessary in every case, we are persuaded that the present factual circumstances support the probate court‘s determination that the videotape deposition of the older child by an impartial examiner did not deprive respondents of their constitutional right of confrontation.16
“Due process applies to any adjudication of important rights.” In re LaFlure, 48 Mich App 377, 385; 210 NW2d 482 (1973).
Procedural due process imposes constraints on governmental decisions which deprive individuals of “liberty” or “property” interests within the meaning of the Due Process Clause of the Fifth or Fourteenth Amendment.
“[D]ue process is flexible and calls for such procedural protections as the particular situation demands.” [Mathews v Eldridge, 424 US 319, 332, 334; 96 S Ct 893; 47 L Ed 2d 18 (1976).]
Due process requires fundamental fairness, which is determined in a particular situation first by “considering any relevant precedents and then by assessing the several interests that are at stake.” Lassiter v Dep‘t of Social Services, 452 US 18, 25; 101 S Ct 2153; 68 L Ed 2d 640 (1981). Generally, three factors will be considered to determine what is required by due process:
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. [Mathews, supra at 335.]
An adjudicative proceeding determines whether the probate court may acquire jurisdiction over a child. Hence, the liberty interest at stake is the parents’ interest in the management of their children.
The procedures used in adjudicative hearings protect the parents from the risk of erroneous deprivation of this interest. Upon a finding of jurisdiction, the probate court has several options, one of which is to return the children to their parents. Not every adjudicative hearing results in removal of custody. In re Perry, 148 Mich App 601; 385 NW2d 287 (1986). Moreover, in order to
Furthermore, it is uncertain whether the added procedural safeguard, here the opportunity to cross-examine the child, would aid in the truth-seeking goal of the adjudicative hearing. Lieutenant Presley testified that the older child would be incapable of communicating if attorneys questioned her and that she might be traumatized presently and in her future treatment if forced to participate in cross-examination. The probate judge assessed these factors and determined that in the interest of receiving the most complete testimony, the child would not be cross-examined. During the video depositions, respondents’ counsel were able to observe the child through a one-way window. Moreover, counsel were allowed to submit questions to the examiner before and during the deposition.17 Although face-to-face confrontation and cross-examination ensure the integrity of the factfinding process by “subjecting it to rigorous testing in the context of an adversary proceeding before the trier of fact,” Craig, supra at 845, where confrontation causes the child “significant emotional distress,” the truth-seeking goal of the Confrontation Clause may be thwarted. Id. at 857.18
Finally, the interest of the state as parens patriae
The Supreme Court of Rhode Island has similarly addressed due process requirements in the context of a child dependency hearing. In re James A, 505 A2d 1386 (RI, 1986). In James A, the respondent father was accused of sexually molesting his two minor sons. The elder son, then age five, was found to be a competent witness, but began crying when the judge began asking him questions in the presence of counsel. The judge cleared the chambers and continued questioning in counsel‘s absence. Counsel were permitted the opportunity to submit questions for cross-examination after the transcript of the child‘s interview with the judge was read back to them. The father
However, owing to his tender years [five] and the nature of the acts to which he was subjected, the trial justice decided that a routine, in-court examination of the child could result in severe psychological trauma. [Id. at 1391.][20]
The court then found that balancing the best interests of the child with the interests of the parents and the state supports the judge‘s action. Id.21
Respondents have an important liberty interest
Because the spirit of confrontation and cross-examination could only be achieved by alternative, nontraditional procedures, deviation from traditional practices should be allowed. In this initial phase wherein the court acquires jurisdiction in order to attempt to alleviate the problems in the home so that the children and the parents can be reunited, we find no abuse of discretion where the probate judge makes particularized findings of necessity requiring testimony of the child victim outside the presence of her parents and their counsel.
III
Respondent Carol Brock next contends that the probate court erred in denying her motion to exclude the testimony of her treating psychologist and psychiatrist. Mrs. Brock asserted her physician-psychologist/patient privilege pursuant to
The trial court found, however, that the privilege was abrogated by § 11 of the Child Protection Law.
Any legally recognized privileged communication except that between attorney and client is abrogated and shall neither constitute grounds for excusing a report otherwise required to be made nor for excluding evidence in a civil child protective proceeding resulting from a report made pursuant to this act. [
MCL 722.631 ; MSA 25.248(11).]
The Court of Appeals reversed the trial court‘s decision, finding that the privilege was not abrogated by § 11. 193 Mich App 666. The Court held the testimony inadmissible because the report of suspected abuse was not made by a person required to make such a report under § 3 of the Child Protection Law,
Prior analyses of § 11 of the Child Protection Law,
[Section] 11 abrogates a privilege only where a report is required under the act or where the communications subject to a privilege are offered as evidence of neglect or abuse in a child protective proceeding.
However, the Court of Appeals has also opined that where a child protective proceeding results from a report of suspected child abuse, the privilege is abrogated because the case was a proceeding under the Child Protection Law resulting from a report under
We disagree with the Court of Appeals reasoning in the present case that the identity of the person initiating the child protective proceeding is determinative of whether § 11 applies. We also disagree with the Court of Appeals reliance on Tedder, supra, to conclude that the testimony of respondent‘s physician and psychologist was inadmissible because it indicated only emotional difficulties rather than evidence of abuse or neglect. 193 Mich App 666.25
According to the plain language of § 11, the
The second involves evidence in a civil child protection proceeding resulting from a report made pursuant to this act. We disagree with the Court of Appeals finding that this provision does not apply because the child protective proceeding did not result from a report required to be made pursuant to the Child Protection Law. 193 Mich App 666. The Court of Appeals does not recognize that “a report made pursuant to this act” also includes a report made under § 4 of the Child Protection Law, which provides:
In addition to those persons required to report child abuse or neglect under section 3, any person, including a child, who has reasonable cause to suspect child abuse or neglect may report the matter to the department or a law enforcement agency. [
MCL 722.624 ; MSA 25.248(4).]
Therefore, the report by respondents’ neighbor falls within § 4 and is considered “a report made pursuant to this act.”
However, this second phrase is open to two distinct interpretations. If the phrase “in a civil child protection proceeding” is considered merely a
If, on the other hand, the entire phrase, “in a civil child protection proceeding resulting from a report made pursuant to this act,” qualifies “evidence,” then the privilege shall be abrogated where the civil child protection proceeding results from a report made pursuant to this act. The testimony would therefore be admissible because, as explained above, the report initiating the DSS investigation falls under § 4 of the Child Protection Law, and therefore the child protection proceeding resulted from a report made “pursuant to this act.”
We are persuaded by this latter interpretation of § 11. The physician-patient privilege is a statutory creation in derogation of common law, and hence will be narrowly construed. La Count v Von Platen-Fox Co, 243 Mich 250; 220 NW 697 (1928); Yount v Nat‘l Bank of Jackson, 327 Mich 342, 347; 42 NW2d 110 (1950). Exceptions to statutory privileges should be broadly construed. People v Love, 425 Mich 691, 700; 391 NW2d 738 (1986). Moreover, the purpose of a child protective proceeding is to protect the welfare of the child. Gates, supra at 161; In re Baby X, 97 Mich App 111, 120; 293 NW2d 736 (1980). It is in the best interests of all parties for the factfinder to be in possession of all relevant information regarding the welfare of the child. The trial court determined that the medical information relevant to the petition for jurisdiction
IV
In summary, we reverse the Court of Appeals decision and uphold the orders of the probate court. The special arrangements established by the probate court to elicit the most complete response by the older child did not violate her parents’ procedural due process rights. Where the probate court makes particularized findings that indicate that a child would suffer psychological trauma if forced to testify in court or if cross-examined by attorneys, the court may allow an impartial examiner to conduct a video interview in order to gather the most accurate and complete information.
Furthermore, the probate court did not err in allowing Mrs. Brock‘s physician and psychologist to testify regarding her history of emotional difficulties. The present proceeding was initiated by a report to the DSS by respondents’ neighbor. The testimony is therefore evidence in a civil child protective proceeding resulting from a report made pursuant to the Child Protection Law, and admissible pursuant to § 11 of the Child Protection Law if determined to be relevant to the proceeding.
Reversed.
CAVANAGH, C.J., and BRICKLEY, BOYLE, GRIFFIN, and MALLETT, JJ., concurred with RILEY, J.
LEVIN, J. (dissenting).
The “initial phase wherein the [probate] court acquires jurisdiction”1 of a child is critical. Once a probate court acquires jurisdiction, its decision at the dispositional phase
Custody of a child, found at the jurisdictional stage to have been sexually abused by a parent, will not — viewed realistically — be restored to the parent at the dispositional phase.
The United States Supreme Court has said that the liberty interest of parents in the care, custody, and management of their children, requires fundamentally fair procedures when the state seeks to deprive them of their parental rights.3 It is therefore beside the point that parental rights termination proceedings are not criminal proceedings, and thus parents may not invoke the Confrontation Clause.4 The Due Process Clause requires a “hearing” when the state seeks to terminate parental rights.5
The United States Supreme Court has also said that where the “evidence consists of the testimony of individuals whose memory might be faulty or who, in fact, might be perjurers or persons motivated by malice, vindictiveness, intolerance, prejudice, or jealousy,” the right to show that the testimony is untrue depends on cross-examination. The Court has observed that it has been “zealous to protect these rights from erosion. It has spoken out not only in criminal cases, ... but also in all types of cases where administrative ... actions were under scrutiny.”7 (Emphasis added.)
[F]ace-to-face presence may, unfortunately, upset the truthful rape victim or abused child; but by the same token it may confound and undo the false accuser, or reveal the child coached by a malevolent adult. It is a truism that constitutional protections have costs.
Although Coy was a criminal prosecution, the rationale underlying the foregoing statement applies as well to the right of cross-examination in this case where the child made inconsistent statements at various times, including during the two video depositions.9
No case has been cited in which any court, in parental rights termination proceedings, has held that parents may be deprived of cross-examination on the basis of a prediction that the child will be traumatized by cross-examination, especially a prediction in the form of an opinion so clearly grounded in theory and not in experience. The Court of Appeals observed that “Lieutenant Presley stated that although she had never seen a child witness testify, she based her conclusion that
Lt. Presley was not an independent expert, but one of the persons who first questioned the child after a report was made to the authorities that she had been sexually abused.
Lt. Presley‘s testimony shows that her views were based on general assumptions about who is qualified to question a child alleged to have been sexually abused. Her assumptions are similar to the assumptions of the Iowa Legislature in enacting a statutory presumption that child victims of sexual abuse cannot endure in-court confrontation with their alleged abusers. That assumption was disapproved in Coy v Iowa, supra, where the United States Supreme Court said that there must be a showing of harm to the particular child by in-court confrontation before alternative out-of-court procedures may be employed to question the child. The requirement of a specific showing of harm was reiterated by the Court in Maryland v Craig, 497 US 836; 110 S Ct 3157; 111 L Ed 2d 666 (1990). Carefully read, Lt. Presley‘s testimony is more general than it is specific respecting the child in the instant case.
In the case, cited by the majority, claimed to be factually most in point, In re James A, 505 A2d 1386, 1391 (RI, 1986), “the attorneys were asked to leave only when it was obvious that the child had become emotional.” (Emphasis added.) Here, the probate court ruled, before the child took the stand, that the parents’ lawyers could not cross-examine her. Because the court ruled before the child testified, there was no evidence that she had in fact been traumatized by direct examination by a lawyer who was an advocate for the people or by
In this regard, it is noteworthy that, in the instant case, the child, at the first interview, “denied that anyone had ever touched or hurt her pookey.”11 After the child had begun “therapy,” the probate court ordered a second interview, during which, the Court of Appeals said, there was “prodding.”12 In light of that pretrial history, the state cannot properly be heard to express concern, absent evidence other than an opinion grounded in theory, that lawyers13 would necessarily traumatize the child by questioning her.
The parents are entitled, as an aspect of due process, to cross-examination by their lawyer, an advocate, not by an “impartial” “trained” examiner, unless possibly if there were evidence that cross-examination by a lawyer had in fact resulted in the child being traumatized or unable to go on. And even then, the “trained” examiner should be one selected by the parents, not a “trained” examiner selected by the court. And, of course, paid for by the state when the parents are indigent.
The parents are entitled at least to cross-examination by a “trained” examiner who is an advocate for the parents, no less an advocate for the parents than the trained persons who before the trial “examined” the child for the state, who testified at the trial as advocates for the state. Cross-examination by an “impartial” person, a person who is not supposed to be an advocate, does not comport with the requirements of due process.
Finally, for the reasons set forth in the opinion
Notes
See also Mathews v Eldridge, 424 US 319; 96 S Ct 893; 47 L Ed 2d 18 (1976). The Court held, under the Fifth Amendment, that the Due Process Clause required that recipients of Social Security disability benefits be provided an opportunity for an evidentiary hearing before benefits were terminated. The Court pronounced a multipronged test to determine how much process is due: the private interest that will be affected by the official action; the risk of an erroneous deprivation of such interest through the procedures used; the probable value, if any, of additional or substitute procedural safeguards; and the government‘s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.
This court rule follows MCR 5.923(D), providing for the use of videotaped depositions and other measures enumerated in MCL 712A.17b; MSA 27.3178(598.17b).
193 Mich App 652, 655; 485 NW2d 10 (1992).Jurisdiction in proceedings concerning any child under 18 years of age found within the county:
* * *
(2) Whose home or environment, by reason of neglect, cruelty, drunkenness, criminality, or depravity on the part of a parent, guardian, or other custodian, is an unfit place for the child to live in.
In the instant case, the lawyers representing the parents were appointed by the probate court. Surely, the court appointed lawyers in whom it had confidence.The child has an interest in the outcome of the factfinding hearing independent of that of the parent. To be sure, “the child and his parent share a vital interest in preventing erroneous termination of their natural relationship.” But the child‘s interest in a continuation of the family unit exists only to the extent that such a continuation would not be harmful to him. An error in the factfinding hearing that results in a failure to terminate a parent-child relationship which rightfully should be terminated may well detrimentally affect the child. [Santosky v Kramer, 455 US 745, 788, n 13; 102 S Ct 1388; 71 L Ed 2d 599 (1982) (Rehnquist, J., dissenting). Emphasis in original, citations omitted.]