Joyner v. DumpsonJoyner v. Dumpson
OPINION
At issue in this action is the constitutionality of a New York statute,
Facts
The statutory process challenged by plaintiffs is activated when a parent who finds himself unable to care for or supervise a problem child at home
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seeks to place the
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child in a residential treatment center at state expense. The process by which a parent relinquishes care and custody of his child to the state is two-fold: first, the parent and a local social services official must enter into a written agreement pursuant to
Section 384-a(2)(a) provides that placement of the child shall be under the written terms and conditions mutually agreed upon by parent and social services representative. -If the transfer instrument designates return of the child for a certain date or event and the agency fails to return the child at that time, or if the parent requests that the child be returned prior to the specified date and the agency refuses or fails to act, the parent’s remedy is to petition the family court or to seek a writ of habeas corpus in the supreme court. If the instrument does not specify a return date, the parent may request return at any time and the agency must then either return the child within twenty days or seek a court order within that time to retain care and custody. See §§ 358-a(7) and 384-a(2)(a). The instrument must advise the parent in lay terms inter alia: that a return date may be specified by the instrument; that the parent has the right to supportive services, to visit the child, and to have the child returned in accordance with the terms of the instrument; that the parent has the right at any time to consult an attorney; and that the parent has the obligation to visit the child and plan for the child’s future. § 384-a(2)(c). Since the 1976 amendments to the statute, the instrument may not include a waiver by the parent of notice of the family court proceedings for approval of the instrument. § 358-a(4). Although the parent may waive a family court hearing, such waiver must be in an instrument separate from that transferring custody if the transfer is pursuant to § 384-a. § 358-a(5). The transfer instrument (“Form W-864”) presented to the parents of the named plaintiffs in this action contained waivers of notice and hearing now void under the amended statute and also contained a statement that “[placement is required because I (we) am (are) unable to make adequate provision for the support, maintenance and supervision of the child in his (her) own home or with relatives or friends.”
Upon execution of the transfer instrument, if the social services official believes the child is likely to remain in state care in excess of thirty days, the official must petition the local family court judge to approve the instrument. If the judge is satisfied that the parent executed the instrument knowingly and voluntarily and because he *237 would be “unable to make adequate provision for the care, maintenance and supervision” of the child in his home, and that the requirements of § 384-a, if applicable, have been satisfied, and if the judge then determines that “the best interest and welfare of the child would be promoted by removal of the child from such home, and that it would be contrary to the welfare of such child for him to continue in such home,” the judge “shall thereupon grant the petition and approve such instrument and the transfer of the ... care and custody of such child to such social services official. . . . ” § 358-a(3). The statute further provides that any order of a family court judge granting or denying a petition for transfer or return of custody shall be appealable. - § 358-a(8).
Once the transfer instrument is executed and the child placed in a residential facility, the parent need not be consulted regarding changes in the method or location of treatment. If the parent opposes any decision made by the social services agency, the parent’s only remedy, beyond complaining to the social services official, is to petition the family court or supreme court. Plaintiffs assert, and defendants have not submitted affidavits otherwise contending, that an unspecified number of parents are deterred from placing their children in residential treatment centers by the prerequisite that custody of their children be transferred to the state.
For the purposes of these motions for summary judgment, the allegations particular to the two named plaintiffs need not be set forth. Plaintiffs do not contend that defendants deviated substantially from their statutory mandate.
Discussion
It is well established that when a statute is challenged on both statutory and constitutional bases, the court must consider the statutory challenge before deciding the constitutional issue.
See, e.g., Harris v. McRae,
I.
Plaintiffs contend that the New York statutory scheme violates plaintiffs’ rights under Title IV of the federal Social Security Act,
Plaintiffs also claim that New York’s requirement that custody be transferred prior to the receipt of needed special services violates plaintiffs’ rights as handicapped children under § 504 of the Rehabilitation Act of 1973,
In providing health, welfare, or other social services or benefits, a recipient may not, on the basis of handicap:
H; ‡ ‡ *
(2) Afford a qualified handicapped person an opportunity to receive benefits or services that is not equal to that offered nonhandicapped persons;
* * * * * *
(4) Provide benefits or services in a manner that limits or has the effect of limiting the participation of qualified handicapped persons....
It is not disputed that the New York statutory scheme treats plaintiffs differently from other classes of beneficiaries and that the distinction is a result of plaintiffs’ need for residential treatment. Moreover, as mentioned above, defendants do not contest plaintiffs’ assertion that the pre-condition of custody transfer does in fact discourage and deter plaintiffs’ parents from placing their children in residential care centers. Although unlawful discrimination does not arise whenever a state either treats the handicapped differently from the non-handicapped or differentiates among classes of the handicapped, the state must “make at least some substantial showing in court that its plan is justified,”
New York Ass’n for Retarded Children v. Carey,
While the court could conceive of reasons that might justify the transfer of custody requirement,
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defendants have not in their affidavits and briefs established or even argued that any valid reasons exist. Since the standard set forth in this Circuit is that the state must substantially justify its differential treatment of handicapped plaintiffs, the court shall not deferentially posit rationales that may not in fact exist. Accordingly, the court rules that the requirement that custody be transferred prior to the admission of the handicapped children comprising the plaintiff class to residential treatment centers violates § 504 of the Rehabilitation Act of 1973,
II.
The court now turns to plaintiffs’ claim that § 358-a violates their substantive due process rights under the Fourteenth Amendment to the Constitution of the United States by conditioning the receipt of necessary benefits on the sacrifice of fundamental constitutional rights. 9 While fixed legal guidelines in the amorphous area of fundamental rights have remained elusive, certain basic principles may be identified.
First, there is no doubt that the right to family privacy and integrity is “fundamental” and that the right of the parent to rear and retain custody of his children is one aspect of that fundamental right.
Zablocki v. Redhail,
Classification of such constitutional claims is often decisive of their outcome. In the instant case, the court must determine whether to apply the rational basis test applicable to social benefits cases, the compelling interest test applicable to certain fundamental rights cases, or an intermediate standard appropriate to the particular case.
Defendants contend that
Dandridge v. Williams,
This court finds the
Dandridge
line of cases distinguishable from the instant case. Whereas the plaintiffs in
Dandridge
and its progeny challenged the allocation of social benefits, plaintiffs in this case are challenging a condition imposed upon the receipt of benefits and not the allocation of those benefits.
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At the core of the holding in
Dandridge
was the Court’s refusal “to second-guess state officials charged with the difficult responsibility of allocating limited public welfare funds among the myriad of potential recipients.”
The court now considers the applicability of the compelling interest test. Recognition that the right to family integrity is fundamental and that exercise of the right is limited to some extent by the statute in question does not resolve the issue. Fundamental rights are not absolute; where governmental action infringes a fundamental right the infringement may be justified by a compelling state interest, and where infringement is not substantial a compelling state interest will not even be required. As the Supreme Court stated in
Memorial Hospital v. Maricopa County,
Having found that the impact of the challenged statute on plaintiffs’ exercise of their constitutional right is significant but that neither the rational basis nor compelling state interest tests is applicable, the court shall apply an alternative, intermediate standard or balancing test. As the Ninth Circuit has stated:
The rather formal three-tier analysis of the Court’s recent equal protection decisions differs somewhat from its less categorical approach when questions of substantive due process are involved. Recent decisions indicate that substantive due process scrutiny of a government regulation involves a case-by-case balancing of the nature of the individual interest allegedly infringed, the importance of the government interests furthered, the degree of infringement, and the sensitivity of the government entity responsible for the regulation to more carefully tailored alternative goals.
Beller v. Middendorf,
Plaintiffs’ motion for partial summary judgment is granted. Defendants’ cross-motion is denied.
So Ordered.
Notes
. The plaintiff class was defined in a certification order entered by Judge Duffy on October 21, 1975 as:
all children in the state of New York who are in need of special services outside their home, whose parents cannot afford the full cost of those services, and who cannot receive such services unless their parents relinquish their custody to the Commissioner of Social Services of the local social services district and consent to a court finding that they are unable to care for their children.
. Named as defendants are: (1) James Dump-son, the Administrator of the New York City Human Resources Administration and Commissioner of the New York City Department of Social Services, responsible for the administration of the New York City welfare district and the children in that district in need of assistance; (2) Carol Parry, the Assistant Administrator of Special Services for Children, an agency within the New York City Human Resources Administration and the Department of Social Services, which includes the Bureau of Child Welfare and which is directly responsible for providing services to New York City children in need of assistance; (3) Bernard Shapiro, the Executive Director of the New York State Board of Social Welfare, responsible for regulating the provisions of services to children in need of assistance state-wide; and (4) Abe La-vine, the Commissioner of the New York State Department of Social Services, responsible for providing public welfare services for the State of New York, including the plaintiff class.
. These motions are presented in the following context.
The parties originally cross-moved for summary judgment as to all but one of the claims in the second amended complaint. The parties subsequently entered into a stipulation which provides in pertinent part:
It is hereby stipulated and agreed by and between the undersigned parties that the sole legal issue to be decided in this case is whether it may lawfully be required that the custody of those children in New York State who require services in addition to education outside their homes which their parents cannot provide be transferred to the temporary custody of the local social services commissioner pursuant to Social Services Law §§ 358-a, 384-a and rules, regulations and administrative directive pursuant thereto; and
It is further stipulated and agreed that resolution of this issue does not depend upon the particular allegations by plaintiff Jay Andrew Joyner as to his ability to be educated in the New York City schools; and
It is further stipulated and agreed that the parties disagree on whether the above-described condition violates the United States Constitution, the federal Social Security Act and, insofar as this condition affects handicapped children, whether it violates § 504 of the Rehabilitation Act of 1973. ...
Although the complaint was thereafter amended twice again, the substance of the dispute, as reflected in the stipulation entered into by the parties, has not changed since the motion papers were originally submitted. The court shall consider the motion papers previously submitted by the parties as applicable to the fourth amended complaint.
The challenged sections of New York Social Services Law have also been amended several times since this action was commenced. It is not disputed that the amendments tend to increase the protection afforded plaintiffs. Several of the amendments have been cited and discussed by the parties in their supplemental briefs. Since this is an action for declaratory not monetary relief, and since the parties have apparently recognized and conceded the applicability of the amendments, the court shall consider the statute as amended, and all citations are to the statute as most recently amended. In view of the court’s finding that § 358-a as amended violates plaintiffs’ federal statutory and constitutional rights, there is no need to consider earlier versions of § 358-a. The court’s conclusions apply a fortiori to the statute prior to the amendments.
. The nature of plaintiffs’ handicaps is disputed. Both of the named plaintiffs are emotionally disturbed; both have had difficulties in school. Defendants assert that plaintiffs are *236 not uneducable and that they are in need of residential facilities only because of problems at home. Plaintiffs assert that they seek placement in residential treatment centers because of their need for specialized education as well as their difficulties at home. The dispute is not material to the issues decisive of the parties’ cross-motions for summary judgment.
. The essential factual allegation of this action is that plaintiffs will not be admitted to residential treatment centers at state expense unless their parents relinquish custody to the state. The fact of this requirement is apparently conceded by defendants. The court nevertheless notes that nowhere in §§ 358-a and 384-a is it stated that transfer of custody is the exclusive means of admission to residential facilities at state expense. The court further observes that with the exception of the first sentence of § 358-a(l), where there is a reference to the transfer of “the care and custody of a child as a public charge by means of an instrument executed pursuant to the provisions of section three hundred eighty-four-a ...” (emphasis added), there is no indication that the challenged provisions apply only to those children whose parents cannot afford the cost of residential treatment. Before the 1978 amendments to § 358-a, the relevant requirements of that section applied only where the child was eligible for federal aid to dependent children. Section 358-a as amended contains no reference to eligibility for federal aid. Nevertheless, the fact that these sections are applicable only where placement is at state expense is, again, apparently acknowledged by defendants and may readily be deduced from their statutory context in Titles 10 (“Aid to Dependent Children”) and 11 (“Medical Assistance for Needy Persons”) of N. Y. Social Services Law.
. The applicability of the Rehabilitation Act of 1973 to plaintiffs’ claims against defendants is not contested: defendants’ assistance programs, as mentioned above, are supported in part by federal funding and plaintiffs are indisputably handicapped within the meaning of the Act,
.
. E.g., the need, if any, of social services officials to make speedy decisions regarding the type or location of treatment without the obligation to consult beforehand with parents who may be difficult to locate or who may be unable to comprehend the nature of the treatment or who may have emotional or physical problems of their own such that placement of their children in residential homes was required in the first place.
. Although the court’s resolution of plaintiffs’ statutory claim obviates the need to consider the constitutional issue as well, since “the precise level of scrutiny that may be appropriate for the variety of contexts in which claims under Section 504 [of the Rehabilitation Act of 1973] will arise” has not been determined,
New York Ass’n for Retarded Children
v.
Carey,
. The court cautions that it does not find the instant case distinguishable because the rights involved in the Dandridge line of cases are less fundamental or because the impact on the exercise of fundamental rights in those cases was less direct or substantial.