In re D.T., A Minor (The People of the State of Illinois et al., Appellants, v. Brenda T., Appellee).
No. 96229
Supreme Court of Illinois
Opinion filed October 21, 2004.
212 Ill. 2d 347
Circuit court order reversed; cause remanded.
Patrick T. Murphy, Cook County Public Guardian, of Chicago (Charles P. Golbert, Allison D. Ortlieb and Carrie C. Fung, of counsel), for the minor.
Richard T. Cozzola, Sheri M. Danz, Diana C. White, Maureen Looker and Nicole Bazer, of Chicago, for appellee.
Myra A. Marcaurelle and Jack L. Block, of Sachnoff & Weaver, Ltd., of Chicago, for amici curiae Loyola Childlaw Center and National Coalition for Child Protection Reform.
JUSTICE FITZGERALD delivered the opinion of the court:
In this appeal we determine the proper standard of proof applicable during the “best-interests” portion of a proceeding to terminate parental rights. The circuit court of Cook County terminated respondent mother‘s parental rights based on the court‘s “sound discretion,” declining to hold the State to a clear and convincing burden of proof, as urged by respondent. The appellate court reversed. Although also rejecting a clear and convincing standard, the appellate court held that the State must demonstrate by a preponderance of the evidence that termination of parental rights is in the minor‘s best
BACKGROUND
On February 1, 1998, respondent, Brenda T., took her four-year-old son, D.T., to the emergency room of Ravenswood Hospital. D.T. was in severe pain from an injury to his scrotum inflicted by respondent‘s boyfriend at least 48 hours earlier. The injury was caused by repetitive blunt blows to the scrotum. D.T. was transferred to Children‘s Memorial Hospital, where he underwent surgery to determine whether castration would be necessary. In addition to this injury, multiple bruises to D.T.‘s face, arm, back, buttock and thigh were apparent. A linear bruise on his cheek had the characteristic appearance of a mark left by an open-hand slap. D.T. tolerated the surgery well, and although castration was unnecessary, the injury left D.T. with an increased risk of infertility later in life.
D.T. was discharged from the hospital on February 4, 1998, and taken into protective custody. The trial court later placed guardianship of D.T. in the Department of Children and Family Services (DCFS) and appointed the Cook County public guardian as D.T.‘s attorney and guardian ad litem (GAL). After living in a group home for several months, in August 1998, D.T. was placed in a foster home, where he resided continuously through at least June 2001. At the time of the underlying proceedings, D.T. was participating in individual therapy and performing well academically, but was experiencing some problems socially in school. The foster mother expressed her desire to adopt D.T.
Following the removal of D.T. from respondent‘s custody, respondent participated in parenting classes, individual therapy, and domestic abuse counseling in ac
On July 19, 1999, the State filed a petition seeking termination of respondent‘s parental rights and appointment of a guardian with the right to consent to adoption. Hearing on the unfitness portion of the State‘s petition began in September 2000. Completion of the unfitness hearing was delayed pending a determination of the applicability of the
The appellate court affirmed the finding of unfitness and held that a preponderance of the evidence standard, which the State had failed to satisfy, applies at a best-interests hearing. The appellate court reversed the trial court‘s order terminating parental rights and remanded the matter for further proceedings. 338 Ill. App. 3d at 154-55. We allowed the GAL‘s petition for leave to appeal
ANALYSIS
Proceedings to terminate parental rights are governed principally by the
The State does not dispute that it bears the burden of proof when it files a petition to terminate parental rights. The Juvenile Court Act expressly sets forth the State‘s burden during the first step of the termination process, the unfitness hearing. The statute states that parental unfitness must be based upon “clear and
The GAL and the State, however, argue that the appropriate standard of proof is “sound discretion.” Under this standard, as explained by the State, a trial judge‘s decision to terminate parental rights would not rest on a quantitative measure of the evidence. Indeed, according to the State, “sound discretion” permits the trial court
In support of their position, the State and the GAL note that the trial court, in making a best-interests determination, is charged with the daunting task of weighing and balancing the following statutory factors, all in light of the child‘s age and developmental needs:
“(a) the physical safety and welfare of the child ***;
(b) the development of the child‘s identity;
(c) the child‘s background and ties ***;
(d) the child‘s sense of attachments, including:
(i) where the child actually feels love, attachment, and a sense of being valued ***;
(ii) the child‘s sense of security;
(iii) the child‘s sense of familiarity;
(iv) continuity of affection for the child;
(v) the least disruptive placement alternative for the child;
(e) the child‘s wishes and long-term goals;
(f) the child‘s community ties, including church, school, and friends;
(g) the child‘s need for permanence ***;
(h) the uniqueness of every family and child;
(i) the risks attendant to entering and being in substitute care; and
(j) the preferences of the persons available to care for the child.”
705 ILCS 405/1—3(4.05) (West 2000) .
The State and the GAL reason that the difficulty and delicacy of a best-interests decision requires that such decision rest within the trial court‘s discretion. They argue that imposition on the State of a “traditional” or “formalistic” standard of proof, like the preponderance standard adopted by the appellate court, will only impede the trial judge‘s decision.
Although we agree that determination of a child‘s best interests presents a difficult and delicate task,
“The function of a standard of proof, as that concept is embodied in the Due Process Clause and in the realm of factfinding, is to ‘instruct the factfinder concerning the degree of confidence our society thinks he should have in the correctness of factual conclusions for a particular type of adjudication.‘” Addington v. Texas, 441 U.S. 418, 423 (1979), quoting In re Winship, 397 U.S. 358, 370 (1970) (Harlan, J., concurring).
See also 9 J. Wigmore, Evidence §§ 2497 through 2498 (Chadbourn rev. ed. 1981) (discussing the “Measure of Jury‘s Persuasion” in criminal and civil cases). “Sound discretion” says nothing about the degree of confidence the trial judge must have in the correctness of his or her factual conclusions concerning the child‘s best interests. Rather, as discussed more fully below, sound discretion implies the degree of deference the trial court‘s decision will be given by a reviewing court. Thus, “sound discretion” is tied to the standard of review; it does not identify a standard of proof.
Although the State argues that the trial court‘s best-interests determination should not rest on a quantitative measure of the evidence, the State nonetheless argues that it presented “enough” evidence for the trial court to find that termination of respondent‘s parental rights was
We also find the State‘s sound discretion standard difficult to reconcile with the nature of the trial court‘s ruling. When a trial court finds that the best interests of the child warrants termination of parental rights and enters an order to that effect, the parent-child relationship is permanently and completely severed. C.N., 196 Ill. 2d at 208, citing Santosky v. Kramer, 455 U.S. 745, 758-59 (1982); see also
“Abuse of discretion” is the most deferential standard of review—next to no review at all—and is therefore traditionally reserved for decisions made by a trial judge in overseeing his or her courtroom or in maintaining the progress of a trial. People v. Coleman, 183 Ill. 2d 366, 387 (1998). For example, a trial judge‘s decision whether to allow or exclude evidence is reviewed for an abuse of discretion (Swick v. Liautaud, 169 Ill. 2d 504, 521 (1996)), as is his or her decision to limit discovery (People v. Williams, 209 Ill. 2d 227, 234 (2004)), impose a sanction for a discovery violation (Sullivan v. Edward Hospital, 209 Ill. 2d 100, 110-11 (2004)), disqualify counsel (People v. Ortega, 209 Ill. 2d 354, 360 (2004)), accept or reject a negotiated plea (People v. Henderson, 211 Ill. 2d 90, 103 (2004)), and deny a forum non conveniens motion
The State and the GAL cite to various appellate court cases which state that termination of an individual‘s parental rights rests within the sound discretion of the trial judge and/or that termination orders are reviewed for an abuse of discretion. E.g., In re D.W., 344 Ill. App. 3d 30, 55-56 (2003); In re Diane L., 343 Ill. App. 3d 419, 425 (2003); In re Jeffrey S., 329 Ill. App. 3d 1096, 1101 (2002); In re B.C., 317 Ill. App. 3d 607, 614 (2000); In re D.J.S., 308 Ill. App. 3d 291, 295 (1999); In re J.J., 307 Ill. App. 3d 71, 76 (1999); In re Allen, 172 Ill. App. 3d 950, 959 (1988); In re Hollis, 135 Ill. App. 3d 585, 588-89 (1985); In re Dalton, 98 Ill. App. 3d 902, 913 (1981). A review of the cited cases, however, reveals no analysis as to the origin or reason behind the appellate court‘s application of the sound discretion standard. Even in those cases in which the appellate court expressly rejected a clear and convincing standard of proof in favor of sound discretion, the appellate court undertook no review of the propriety of the sound discretion standard itself. See In re Precious W., 333 Ill. App. 3d 893, 901-02 (2002); In re D.L., 326 Ill. App. 3d 262, 270-71 (2001); In re G.V., 292 Ill. App. 3d 301, 308-09 (1997); In re Y.B., 285 Ill. App. 3d 385, 393 (1996); In re V.O., 284 Ill. App. 3d 686, 691 (1996). Mere repetition of a purported rule of law does not establish its validity. Moreover, when this court becomes aware that an erroneous burden of proof has
We turn to the issue of whether the preponderance standard, adopted by the appellate court, or the clear and convincing standard, urged by respondent, is applicable. Respondent renews her argument, rejected by the appellate court, that the Supreme Court‘s decision in Santosky v. Kramer, 455 U.S. 745 (1982), mandates imposition of a clear and convincing standard of proof at a best-interests hearing.
At issue in Santosky was the constitutionality of a New York statute that permits the state to terminate parental rights upon a finding, supported by a fair preponderance of the evidence, that the child is “permanently neglected.” The New York statute, as described by the Court, bifurcates permanent neglect proceedings into a “fact-finding” hearing and a “dispositional” hearing. At the fact-finding hearing, the State is required to prove permanent neglect, as defined in the statute.3 At the subsequent dispositional hearing, the court determines
The Court noted its long-standing recognition that “freedom of personal choice in matters of family life is a fundamental liberty interest protected by the Fourteenth Amendment,” and that the liberty interest of parents in the care, custody and management of their child “does not evaporate simply because they have not been model parents or have lost temporary custody of their child to the State.” Santosky, 455 U.S. at 753. Thus, state action to terminate the relationship between a parent and child must be accomplished by procedures that comport with due process. Id. at 753. “When the State moves to destroy weakened familial bonds, it must provide the parents with fundamentally fair procedures.” Id. at 753-54.
Whether the preponderance standard of proof employed under the New York statute satisfied due process turned on the Court‘s balancing of the three public and private interest factors identified in Mathews v. Eldridge, 424 U.S. 319, 335 (1976): “the private interests affected by the proceeding; the risk of error created by the State‘s chosen procedure; and the countervailing governmental interest supporting use of the challenged procedure.” Santosky, 455 U.S. at 754. The Court
Respondent maintains that New York‘s fact-finding hearing—the first stage of its bifurcated termination proceeding—is comparable to both steps of Illinois’ two-step termination proceeding and that, in accordance with Santosky, a clear and convincing standard of proof must be imposed at an Illinois best-interests hearing. We disagree. If a comparison is to be made between the two proceedings, we conclude, as did the appellate court, that New York‘s “fact-finding” hearing, during which the court considers whether the child is “permanently neglected” (Santosky, 455 U.S. at 748), is comparable to the “unfitness” portion of an Illinois termination proceeding, during which the court considers whether the parent is “unfit.” New York‘s subsequent “dispositional” hearing, during which the court considers what placement will serve the child‘s best interests (Santosky, 455 U.S. at 748), is comparable to the “best-interests” portion of an Illinois proceeding. Thus,
In addition to her contention that Santosky is dispositive, respondent contends that “[b]ecause the parent-child relationship still exists at the best-interests stage of a termination proceeding, Due Process requires that the burden of proof be clear and convincing.” We agree with respondent that, until an order is entered terminating parental rights, the parent-child relationship exists. See In re C.W., 199 Ill. 2d 198, 216 (2002). We disagree, however, that parents are entitled to the same procedural safeguard, i.e., the same standard of proof, at the best-interests hearing that they are entitled to at the unfitness hearing.
In any given proceeding, the minimum standard of proof the due process clause permits reflects the weight of the private and public interests affected, as well as a societal judgment about how the risk of error should be allocated between the parties. Santosky, 455 U.S. at 755. “The more stringent the burden of proof a party must bear, the more that party bears the risk of an erroneous decision.” Cruzan v. Director, Missouri Department of Health, 497 U.S. 261, 283 (1990). For example, in a criminal case the private interests of the defendant are of such magnitude that society imposes the risk of error almost entirely on itself by requiring the State to prove the defendant‘s guilt
In contrast, civil cases generally require the lesser “preponderance” standard of proof. This standard allocates the risk of error roughly equally between the litigants (Santosky, 455 U.S. at 755), reflecting the view that the interests at stake are of relatively equal societal importance (Lyon, 209 Ill. 2d at 281). In some civil cases, however, the interests at stake are deemed to be more substantial, requiring a higher standard than a preponderance. In these cases, a clear and convincing standard is imposed. Addington, 441 U.S. at 424; Bazydlo, 164 Ill. 2d at 213. The clear and convincing standard requires proof greater than a preponderance, but not quite approaching the criminal standard of beyond a reasonable doubt. Bazydlo, 164 Ill. 2d at 213. A party burdened with a clear and convincing standard shoulders a greater share of the risk of an erroneous determination. See Cruzan, 497 U.S. at 283.
In determining whether, as argued by respondent, a clear and convincing standard is the minimum burden of proof at a best-interests hearing that the due process clause will allow, we apply the test developed in Mathews v. Eldridge, 424 U.S. 319 (1976). See In re Andrea F., 208 Ill. 2d 148, 165 (2003) (evaluating challenged procedure at parental rights termination proceeding under Mathews); In re M.H., 196 Ill. 2d 356, 364-65 (2001) (same). Under Mathews, the dictates of due process require consideration of three factors: “[f]irst, the private interest that will be affected by
Two private interests are at stake in a proceeding to terminate parental rights: the parent‘s fundamental liberty interest in the care, custody and management of his or her child (Santosky, 455 U.S. at 758-59; M.H., 196 Ill. 2d at 365), and the child‘s interest in a “normal family home” (Santosky, 455 U.S. at 759), or, as our appellate court described it, an “interest in a loving, stable and safe home environment” (338 Ill. App. 3d at 152). See also People v. R.G., 131 Ill. 2d 328, 354 (1989) (“[t]he minor also has a private interest in his or her own well-being and in a stable environment“). At the unfitness stage, the interests of the parent and the child coincide to the extent that they both “share a vital interest in preventing erroneous termination of their natural relationship.” Santosky, 455 U.S. at 760-61. The alignment of these interests at the unfitness hearing favors the use of error-reducing procedures, i.e., use of a more stringent burden of proof than a preponderance. See Santosky, 455 U.S. at 760-61. The same, however, is not true at a best-interests hearing. Once the State proves parental unfitness, the interests of the parent and the child diverge. Santosky, 455 U.S. at 760. Thus, at a best-interests hearing, the parent and the child may become adversaries, as the child‘s interest in a
The second Mathews factor requires us to consider the risk of an erroneous deprivation of the parent‘s and child‘s interests resulting from the use of a preponderance standard and the likelihood that a higher evidentiary standard—clear and convincing—would reduce the risk of error. See Santosky, 455 U.S. at 761. At the unfitness hearing, the focus is on the parent‘s conduct relative to the ground or grounds of unfitness alleged by the State. The trial court is not permitted to consider the child‘s interests. In re D.D., 196 Ill. 2d 405, 417 (2001). A clear and convincing standard underscores the importance of the parent‘s interest and the fact that such interest will not be extinguished lightly. M.H., 196 Ill. 2d at 365. A clear and convincing standard reduces the risk that a fit parent will be found unfit.
Following a finding of unfitness, however, the focus shifts to the child. The issue is no longer whether parental rights can be terminated; the issue is whether, in light of the child‘s needs, parental rights should be terminated. Accordingly, at a best-interests hearing, the parent‘s interest in maintaining the parent-child relationship must yield to the child‘s interest in a stable, loving home life. See In re G.L., 329 Ill. App. 3d 18, 24 (2002); In re A.H., 215 Ill. App. 3d 522, 531 (1991); Allen, 172 Ill. App. 3d at 959. The stricter clear and convincing burden of proof would place a greater share of the risk of an erroneous determination on the State, operating to the benefit of the parent, but to the detriment of the child.
Turning to the final Mathews factor, two governmental interests are at stake in a parental rights termination proceeding: the state‘s “parens patriae interest in preserving and promoting the welfare of the child and a fiscal and administrative interest in reducing the cost and burden of such proceedings.” Santosky, 455 U.S. at 766. Use of a clear and convincing standard of proof at the best-interests hearing would likely not impose an increased fiscal burden on the state, since the higher evidentiary burden is already required at the unfitness hearing. Further, unlike other procedural safeguards, such as the right to counsel in criminal proceedings, no additional state resources would be called into play simply by virtue of a stricter evidentiary standard.
Use of a clear and convincing standard at the best-interests hearing would, however, frustrate the state‘s parens patriae interest in protecting the welfare of its
Based on the foregoing analysis of the Mathews factors, we conclude, as did the appellate court, that due process does not require imposition of a clear and convincing standard of proof at a best-interests hearing, and that the preponderance standard of proof adequately ensures the level of certainty about the court‘s factual conclusions necessary to satisfy due process. In the present case, the trial court declined to recognize a particular burden of proof and instead indicated that its best-interests ruling was based on its “sound discretion.” The trial court erred.
To remedy this error, the appellate court conducted its own review of the evidentiary record. Applying a manifest weight standard of review, the appellate court held that the State had failed to prove by a preponderance of the evidence that termination of respondent‘s parental rights was in D.T.‘s best interest. The appellate court reversed the trial court‘s termination order and remanded for further proceedings. 338 Ill. App. 3d at 154-55. Although we agree that remand is appropriate, we conclude that it was improper for the appellate court to conduct its own review of the evidence. This conclusion is guided by our decision in In re Enis, 121 Ill. 2d 124 (1988). In Enis we considered whether an order terminating parental rights, which required clear and convincing evidence of unfitness, could be based upon prior findings of abuse supported by a preponderance of the evidence. The parents challenged the termination order on due process grounds. The appellate court reversed and remanded for further proceedings. In re Enis, 145 Ill. App. 3d 753 (1986). Relying on the Supreme Court‘s Santosky opinion discussed above, we affirmed the appellate court‘s decision. Significantly, this court did not undertake its own review of the evidence. Rather, we remanded the matter to the trial court for a new hearing.
“Because the trial court judged the evidence by the improper standard of proof, we order a new hearing on the State‘s petition to be conducted under the constitutionally proper standard, i.e., clear and convincing evidence. Santosky v. Kramer (1982), 455 U.S. 745, 770; In re Urbasek (1967), 38 Ill. 2d 535, 543.” Enis, 121 Ill. 2d at 134.
In similar fashion, we remand this matter to the trial court for a new best-interests hearing to be conducted under the constitutionally proper standard—a preponderance of the evidence.
We are aware that more than six years have passed since this case first entered the system, more than three years have passed since the trial court rendered its decision on the State‘s termination petition, and a new hearing will delay the ultimate disposition of this case and, importantly, D.T.‘s placement. We are also aware that a new hearing, which necessarily includes evidence of D.T.‘s current circumstances, creates the potential for a new round of appeals delaying still further a final decision on D.T.‘s status. This court is not insensitive to the plight of children like D.T. We have on numerous occasions emphasized the time-sensitive nature of proceedings under the Juvenile Court Act and the need for
The judgment of the appellate court is affirmed in part and reversed in part and the cause remanded to the circuit court for further proceedings.
Affirmed in part and reversed in part; cause remanded.
JUSTICE GARMAN, dissenting:
I agree that if a standard of proof applies to a best-interests determination, then it is the preponderance of the evidence. As the majority notes, “sound discretion” does not identify a standard of proof.
It is clear that two questions that the majority decides—whether “sound discretion” is a standard of proof and whether the correct standard of proof is the preponderance of the evidence—both presuppose an affirmative answer to the more basic question whether any standard of proof applies. Until that basic question is decided, it is premature to decide the standard of proof. The parties have failed to squarely raise and brief the question. Further, the majority opinion does not resolve the issue. I would require the parties to submit supplemental briefs addressing specifically whether there should be any standard of proof at a dispositional hearing, or whether the State‘s burden is to present sufficient
The majority points out the State claims it presented “enough” evidence to support the decision to terminate respondent‘s parental rights. 212 Ill. 2d at 355-56. However, the majority falsely assumes that only a standard of proof can answer the question how much is enough. To say the State must present “enough” evidence may mean that the State bears a burden of production, not that the State also bears the burden of persuading the court. That is, it may be the State‘s burden is to present sufficient evidence relevant to the applicable legal criteria to provide an evidentiary basis upon which the court may exercise its discretion. See
Another of the majority‘s arguments suffers from the same defect. The majority points out the statute provides that, “‘The standard of proof and the rules of evidence in the nature of civil proceedings in this State are applicable to proceedings under this Article.‘” 212 Ill. 2d at 353, quoting
In addition to offering arguments that assume some standard of proof must apply, the majority also argues
I agree the decision whether to terminate parental rights is a very grave one. However, the majority‘s list of discretionary decisions suffers from a glaring omission. In a criminal case, the decision to impose a particular sentence within the range permitted by statute is a matter of judicial discretion. People v. La Pointe, 88 Ill. 2d 482, 492 (1981). It seems beyond dispute that sentencing decisions are often every bit as grave as the decision whether to terminate parental rights. Nevertheless, “[s]entencing courts have traditionally heard evidence and found facts without any prescribed burden of proof at all.” McMillan v. Pennsylvania, 477 U.S. 79, 91 (1986). Moreover, it is noteworthy that, just as a person may be punished for a crime only after he is convicted according to the standard of proof required by due process, parental rights may be terminated only after the parent is found unfit by clear and convincing evidence, the standard of proof that due process requires. See
Not only do I believe the majority‘s arguments are insufficient, I find at this point some positive reason to believe that discretion is appropriate at a best-interests hearing. The majority correctly notes that a standard of proof has to do with “the degree of confidence the trial judge must have in the correctness of his or her factual conclusions concerning the child‘s best interests.” 212 Ill. 2d at 355. However, the ultimate decision about a child‘s best interests does not appear to be primarily a matter of “factual conclusions.” Of course, the court‘s decision should be based on facts. However, the ultimate decision is largely a matter of weighing conflicting values and applying policy judgments to the facts. The factors the statute directs courts to consider support that conclusion. Courts must consider, inter alia, “the development of the child‘s identity” (
Finally, the potential consequences of the majority‘s decision should give us pause. The majority‘s decisions heightens the scrutiny reviewing courts apply to best-interests rulings. In the face of more intense review, courts will likely be more reluctant to take the step of terminating parental rights. Because the majority has made its decision without adequate briefing on a crucial question, I fear we may needlessly hamper our trial courts in the exercise of their duty to protect children like D.T.
For the foregoing reasons, I respectfully dissent.
JUSTICE THOMAS joins in this dissent.