SCHALL, COMMISSIONER OF NEW YORK CITY DEPARTMENT OF JUVENILE JUSTICE v. MARTIN ET AL.
No. 82-1248
Supreme Court of the United States
Argued January 17, 1984—Decided June 4, 1984
467 U.S. 253
*Together with No. 82-1278, Abrams, Attorney General of New York v. Martin et al., also on appeal from the same court.
Martin Guggenheim argued the cause for appellees in both cases. With him on the brief were Burt Neuborne, Janet R. Fink, and Charles A. Hollander.†
Section 320.5(3)(b) of the
I
Appellee Gregory Martin was arrested on December 13, 1977, and charged with first-degree robbery, second-degree assault, and criminal possession of a weapon based on an incident in which he, with two others, allegedly hit a youth on the head with a loaded gun and stole his jacket and sneakers. See Petitioners’ Exhibit 1b. Martin had possession of the gun when he was arrested. He was 14 years old at the time and, therefore, came within the jurisdiction of New York‘s Family Court.4 The incident occurred at 11:30 at night, and Martin lied to the police about where and with whom he lived. He was consequently detained overnight.5
On December 21, 1977, while still in preventive detention pending his factfinding hearing, Gregory Martin instituted a
In an unpublished opinion, the District Court certified the class. App. 20-32.10 The court also held that appellees were not required to exhaust their state remedies before resorting to federal habeas because the highest state court had already rejected an identical challenge to the juvenile preventive detention statute. See People ex rel. Wayburn v. Schupf, 39 N. Y. 2d 682, 350 N. E. 2d 906 (1976). Exhaustion of state remedies, therefore, would be “an exercise in futility.” App. 26.
At trial, appellees offered in evidence the case histories of 34 members of the class, including the three named petitioners. Both parties presented some general statistics on the relation between pretrial detention and ultimate disposition. In addition, there was testimony concerning juvenile proceedings from a number of witnesses, including a legal aid attorney specializing in juvenile cases, a probation supervisor, a child psychologist, and a Family Court Judge. On the basis of this evidence, the District Court rejected the equal protection challenge as “insubstantial,”11 but agreed with appellees that pretrial detention under the FCA violates due process.12
The Court of Appeals affirmed. After reviewing the trial record, the court opined that “the vast majority of juveniles detained under [
II
There is no doubt that the Due Process Clause is applicable in juvenile proceedings. “The problem,” we have stressed, “is to ascertain the precise impact of the due process requirement upon such proceedings.” In re Gault, 387 U. S. 1, 13-14 (1967). We have held that certain basic constitutional protections enjoyed by adults accused of crimes also apply to juveniles. See id., at 31-57 (notice of charges, right to counsel, privilege against self-incrimination, right to confrontation and cross-examination); In re Winship, 397 U. S. 358 (1970) (proof beyond a reasonable doubt); Breed v. Jones, 421 U. S. 519 (1975) (double jeopardy). But the Constitution does not mandate elimination of all differences in the treatment of juveniles. See, e. g., McKeiver v. Pennsylvania, 403 U. S. 528 (1971) (no right to jury trial). The State has “a parens patriae interest in preserving and promoting the welfare of the child,” Santosky v. Kramer, 455 U. S. 745, 766 (1982), which makes a juvenile proceeding fundamentally different from an adult criminal trial. We have tried, therefore, to strike a balance—to respect the “informality” and “flexibility” that characterize juvenile proceedings, In re Winship, supra, at 366, and yet to ensure that such proceedings comport with the “fundamental fairness” demanded by the Due Process Clause. Breed v. Jones, supra, at 531; McKeiver, supra, at 543 (plurality opinion).
The statutory provision at issue in these cases,
A
Preventive detention under the FCA is purportedly designed to protect the child and society from the potential consequences of his criminal acts. People ex rel. Wayburn v. Schupf, 39 N. Y. 2d, at 689-690, 350 N. E. 2d, at 910. When making any detention decision, the Family Court judge is specifically directed to consider the needs and best interests of the juvenile as well as the need for the protection of the community.
The “legitimate and compelling state interest” in protecting the community from crime cannot be doubted. De Veau v. Braisted, 363 U. S. 144, 155 (1960). See also Terry v. Ohio, 392 U. S. 1, 22 (1968). We have stressed before that crime prevention is “a weighty social objective,” Brown v. Texas, 443 U. S. 47, 52 (1979), and this interest persists undiluted in the juvenile context. See In re Gault, supra, at 20, n. 26. The harm suffered by the victim of a crime is not de
The juvenile‘s countervailing interest in freedom from institutional restraints, even for the brief time involved here, is undoubtedly substantial as well. See In re Gault, supra, at 27. But that interest must be qualified by the recognition that juveniles, unlike adults, are always in some form of custody. Lehman v. Lycoming County Children‘s Services, 458 U. S. 502, 510-511 (1982); In re Gault, supra, at 17. Children, by definition, are not assumed to have the capacity to take care of themselves. They are assumed to be subject to the control of their parents, and if parental control falters, the State must play its part as parens patriae. See State v. Gleason, 404 A. 2d 573, 580 (Me. 1979); People ex rel. Wayburn v. Schupf, supra, at 690, 350 N. E. 2d, at 910; Baker v. Smith, 477 S. W. 2d 149, 150-151 (Ky. App. 1971). In this respect, the juvenile‘s liberty interest may, in appropriate circumstances, be subordinated to the State‘s ”parens patriae interest in preserving and promoting the welfare of the child.” Santosky v. Kramer, supra, at 766.
The New York Court of Appeals, in upholding the statute at issue here, stressed at some length “the desirability of protecting the juvenile from his own folly.” People ex rel. Wayburn v. Schupf, supra, at 688-689, 350 N. E. 2d, at 909.15
The substantiality and legitimacy of the state interests underlying this statute are confirmed by the widespread use and judicial acceptance of preventive detention for juveniles. Every State, as well as the United States in the District of
“The fact that a practice is followed by a large number of states is not conclusive in a decision as to whether that practice accords with due process, but it is plainly worth considering in determining whether the practice ‘offends some principle of justice so rooted in the traditions and conscience of our people as to be ranked as fundamental.’ Snyder v. Massachusetts, 291 U. S. 97, 105 (1934).” Leland v. Oregon, 343 U. S. 790, 798 (1952). In light of the uniform legislative judgment that pretrial detention of juveniles properly promotes the interests both of society and the juvenile, we conclude that the practice serves a legitimate regulatory purpose compatible with the “fundamental fairness” demanded by the Due Process Clause in juvenile proceedings. Cf. McKeiver v. Pennsylvania, 403 U. S., at 548 (plurality opinion).18
There is no indication in the statute itself that preventive detention is used or intended as a punishment. First of all, the detention is strictly limited in time. If a juvenile is detained at his initial appearance and has denied the charges
Detained juveniles are also entitled to an expedited factfinding hearing. If the juvenile is charged with one of a limited number of designated felonies, the factfinding hearing must be scheduled to commence not more than 14 days after the conclusion of the initial appearance.
Thus, the maximum possible detention under
The conditions of confinement also appear to reflect the regulatory purposes relied upon by the State. When a juvenile is remanded after his initial appearance, he cannot, absent exceptional circumstances, be sent to a prison or lockup where he would be exposed to adult criminals.
The Court of Appeals, of course, did conclude that the underlying purpose of
There are some obvious flaws in the statistics and case histories relied upon by the lower court.21 But even assuming it to be the case that “by far the greater number of juveniles incarcerated under [
Pretrial detention need not be considered punitive merely because a juvenile is subsequently discharged subject to con-
ditions or put on probation. In fact, such actions reinforce the original finding that close supervision of the juvenile is required. Lenient but supervised disposition is in keeping with the Act‘s purpose to promote the welfare and development of the child.22 As the New York Court of Appeals noted:“It should surprise no one that caution and concern for both the juvenile and society may indicate the more conservative decision to detain at the very outset, whereas the later development of very much more relevant information may prove that while a finding of delinquency was warranted, placement may not be indicated.” People ex rel. Wayburn v. Schupf, 39 N. Y. 2d, at 690, 350 N. E. 2d, at 910.
Even when a case is terminated prior to factfinding, it does not follow that the decision to detain the juvenile pursuant to
It may be, of course, that in some circumstances detention of a juvenile would not pass constitutional muster. But the validity of those detentions must be determined on a case-by-case basis.
B
Given the legitimacy of the State‘s interest in preventive detention, and the nonpunitive nature of that detention, the remaining question is whether the procedures afforded juveniles detained prior to factfinding provide sufficient protection against erroneous and unnecessary deprivations of liberty. See Mathews v. Eldridge, 424 U. S. 319, 335 (1976).24 In Gerstein v. Pugh, 420 U. S. 103, 114 (1975), we held that a judicial
In many respects, the FCA provides far more predetention protection for juveniles than we found to be constitutionally required for a probable-cause determination for adults in Gerstein. The initial appearance is informal, but the accused juvenile is given full notice of the charges against him and a complete stenographic record is kept of the hearing. See 513 F. Supp., at 702. The juvenile appears accompanied by his parent or guardian.25 He is first informed of his rights, including the right to remain silent and the right to be represented by counsel chosen by him or by a law guardian assigned by the court.
The nonhearsay allegations in the delinquency petition and supporting depositions must establish probable cause to
At the conclusion of the initial appearance, the presentment agency makes a recommendation regarding detention. A probation officer reports on the juvenile‘s record, including other prior and current Family Court and probation contacts, as well as relevant information concerning home life, school attendance, and any special medical or developmental problems. He concludes by offering his agency‘s recommendation on detention. Opposing counsel, the juvenile‘s parents, and the juvenile himself may all speak on his behalf and challenge any information or recommendation. If the judge does decide to detain the juvenile under
In sum, notice, a hearing, and a statement of facts and reasons are given prior to any detention under
Appellees argue, however, that the risk of erroneous and unnecessary detentions is too high despite these procedures because the standard for detention is fatally vague. Detention under
Our cases indicate, however, that from a legal point of view there is nothing inherently unattainable about a prediction of future criminal conduct. Such a judgment forms an important element in many decisions,30 and we have specifically re-
We have also recognized that a prediction of future criminal conduct is “an experienced prediction based on a host of variables” which cannot be readily codified. Greenholtz v. Nebraska Penal Inmates, 442 U. S. 1, 16 (1979). Judge Quinones of the Family Court testified at trial that he and his colleagues make a determination under
Given the right to a hearing, to counsel, and to a statement of reasons, there is no reason that the specific factors upon which the Family Court judge might rely must be specified in the statute. As the New York Court of Appeals concluded, People ex rel. Wayburn v. Schupf, 39 N. Y. 2d, at 690, 350 N. E. 2d, at 910, “to a very real extent Family Court must exercise a substitute parental control for which there can be
It is worth adding that the Court of Appeals for the Second Circuit was mistaken in its conclusion that “[i]ndividual litigation... is a practical impossibility because the periods of detention are so short that the litigation is mooted before the merits are determined.” 689 F. 2d, at 373. In fact, one of the juveniles in the very case histories upon which the court relied was released from pretrial detention on a writ of habeas corpus issued by the State Supreme Court. New York courts also have adopted a liberal view of the doctrine of “capable of repetition, yet evading review” precisely in order to ensure that pretrial detention orders are not unreviewable. In People ex rel. Wayburn v. Schupf, supra, at 686, 350 N. E. 2d, at 908, the court declined to dismiss an appeal from the grant of a writ of habeas corpus despite the technical mootness of the case.
“Because the situation is likely to recur . . . and the substantial issue may otherwise never be reached (in view of the predictably recurring happenstance that, however expeditiously an appeal might be prosecuted, fact-finding and dispositional hearings normally will have been held and a disposition made before the appeal could reach us), . . . we decline to dismiss [the appeal] on the ground of mootness.”
The required statement of facts and reasons justifying the detention and the stenographic record of the initial appearance will provide a basis for the review of individual cases. Pretrial detention orders in New York may be reviewed by writ of habeas corpus brought in State Supreme Court. And the judgment of that court is appealable as of right and may be taken directly to the Court of Appeals if a constitutional question is presented.
III
The dissent would apparently have us strike down New York‘s preventive detention statute on two grounds: first, because the preventive detention of juveniles constitutes poor public policy, with the balance of harms outweighing any positive benefits either to society or to the juveniles themselves, post, at 290-291, 308, and, second, because the statute could have been better drafted to improve the quality of the decisionmaking process, post, at 304-306. But it is worth recalling that we are neither a legislature charged with formulating public policy nor an American Bar Association committee charged with drafting a model statute. The question before us today is solely whether the preventive detention system chosen by the State of New York and applied by the New York Family Court comports with constitutional standards. Given the regulatory purpose for the detention and the procedural protections that precede its imposition, we conclude that
The judgment of the Court of Appeals is
Reversed.
JUSTICE MARSHALL, with whom JUSTICE BRENNAN and JUSTICE STEVENS join, dissenting.
The New York Family Court Act governs the treatment of persons between 7 and 16 years of age who are alleged to have committed acts that, if committed by adults, would
The Court today holds that preventive detention of a juvenile pursuant to
I
The District Court made detailed findings, which the Court of Appeals left undisturbed, regarding the manner in which
The first step in the process that leads to detention under
On the basis of the information derived from the interview and from an examination of the juvenile‘s record, the probation officer decides whether the case should be disposed of informally (“adjusted“) or whether it should be referred to the Family Court. If the latter, the officer makes an additional recommendation regarding whether the juvenile should be detained. “There do not appear to be any governing criteria which must be followed by the probation officer in choosing between proposing detention and parole. . . .” Ibid.
The actual decision whether to detain a juvenile under
In the typical case, the judge appoints counsel for the juvenile at the time his case is called. Thus, the lawyer has no opportunity to make an independent inquiry into the juvenile‘s background or character, and has only a few minutes to
Neither the statute nor any other body of rules guides the efforts of the judge to determine whether a given juvenile is likely to commit a crime before his trial. In making detention decisions, “each judge must rely on his own subjective
After examining a study of a sample of 34 cases in which juveniles were detained under
Finally, the District Court made a few significant findings concerning the conditions associated with “secure detention” pursuant to
It is against the backdrop of these findings that the contentions of the parties must be examined.
II
A
As the majority concedes, ante, at 263, the fact that
To comport with “fundamental fairness,”
The majority only grudgingly and incompletely acknowledges the applicability of the first of these tests, but its grip on the cases before us is undeniable. It is manifest that
The majority‘s arguments do not survive scrutiny. Its characterization of preventive detention as merely a transfer of custody from a parent or guardian to the State is difficult to take seriously. Surely there is a qualitative difference between imprisonment and the condition of being subject to
“Then again, Juvenile Center, as much as we might try, is not the most pleasant place in the world. If you put them in detention, you are liable to be exposing these youngsters to all sorts of things. They are liable to be exposed to assault, they are liable to be exposed to sexual assaults. You are taking the risk of putting them together with a youngster that might be much worse than they, possibly might be, and it might have a bad effect in that respect.” App. 270.
Many other observers of the circumstances of juvenile detention in New York have come to similar conclusions.13
The applicability of the second of the two tests is admitted even by the majority. In Bell v. Wolfish, 441 U. S. 520, 535
For related reasons,
B
Appellants and the majority contend that
Appellees and some amici argue that public purposes of this sort can never justify incarceration of a person who has not been adjudicated guilty of a crime, at least in the absence of a determination that there exists probable cause to believe he committed a criminal offense.17 We need not reach that
categorial argument in these cases because, even if the purposes identified by the majority are conceded to be compelling, they are not sufficiently promoted by detention pursuant to
1
Both of the courts below concluded that only occasionally and accidentally does pretrial detention of a juvenile under
The rarity with which invocation of
The argument that
2
The majority seeks to deflect appellees’ attack on the constitutionality of
There are some obvious practical impediments to adoption of the majority‘s proposal. Because a juvenile may not be incarcerated under
But even if these practical difficulties could be surmounted, the majority‘s proposal would be inadequate. Precisely because of the unreliability of any determination whether a particular juvenile is likely to commit a crime between his arrest and trial, see supra, at 293-294, no individual detainee would be able to demonstrate that he would have abided by the law had he been released. In other words, no configuration of circumstances would enable a juvenile to establish that he fell into the category of persons unconstitutionally detained rather than the category constitutionally detained.28 Thus, to protect the rights of the majority of juveniles whose incarceration advances no legitimate state interest,
C
The findings reviewed in the preceding section lend credence to the conclusion reached by the courts below:
The majority contends that, of the many factors we have considered in trying to determine whether a particular sanction constitutes “punishment,” see Kennedy v. Mendoza-Martinez, 372 U. S. 144, 168-169 (1963), the most useful are “whether an alternative purpose to which [the sanction] may
The inference that
III
If the record did not establish the impossibility, on the basis of the evidence available to a Family Court judge at a
Appellees point out that
Not surprisingly, in view of the lack of directions provided by the statute, different judges have adopted different ways of estimating the chances whether a juvenile will misbehave in the near future. “Each judge follows his own individual approach to [the detention] determination.” 513 F. Supp., at 702; see App. 265 (testimony of Judge Quinones). This discretion exercised by Family Court judges in making detention decisions gives rise to two related constitutional problems. First, it creates an excessive risk that juveniles will be detained “erroneously“—i. e., under circumstances in which no public interest would be served by their incarceration. Second, it fosters arbitrariness and inequality in a decisionmaking process that impinges upon fundamental rights.
A
One of the purposes of imposing procedural constraints on decisions affecting life, liberty, or property is to reduce the
“[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.
As Judge Newman recognized, 689 F. 2d, at 375-376, a review of these three factors in the context of New York‘s preventive-detention scheme compels the conclusion that the Due Process Clause is violated by
Second, there can be no dispute that there is a serious risk under the present statute that a juvenile will be detained erroneously—i. e., despite the fact that he would not commit a crime if released. The findings of fact reviewed in the preceding sections make it apparent that the vast majority of detentions pursuant to
The majority purports to see no value in such additional safeguards, contending that activity of estimating the likelihood that a given juvenile will commit a crime in the near future involves subtle assessment of a host of variables, the precise weight of which cannot be determined in advance. Ante, at 279. A review of the hearings that resulted in the detention of the juveniles included in the sample of 34 cases reveals the majority‘s depiction of the decisionmaking process to be hopelessly idealized. For example, the operative portion of the initial appearance of Tyrone Parson, the three-card monte player,34 consisted of the following:
“COURT OFFICER: Will you identify yourself.
“TYRONE PARSON: Tyrone Parson, Age 15.
“THE COURT: Miss Brown, how many times has Tyrone been known to the Court?
“MISS BROWN: Seven times.
This kind of parody of reasoned decisionmaking would be less likely to occur if judges were given more specific and mandatory instructions regarding the information they should consider and the manner in which they should assess it.
Third and finally, the imposition of such constraints on the deliberations of the Family Court judges would have no adverse effect on the State‘s interest in detaining dangerous juveniles and would give rise to insubstantial administrative burdens. For example, a simple directive to Family Court judges to state on the record the significance they give to the seriousness of the offense of which a juvenile is accused and to the nature of the juvenile‘s background would contribute materially to the quality of the decisionmaking process without significantly increasing the duration of initial appearances.
In summary, the three factors enumerated in Mathews in combination incline overwhelmingly in favor of imposition of more stringent constraints on detention determinations under
B
A principle underlying many of our prior decisions in various doctrinal settings is that government officials may not be accorded unfettered discretion in making decisions that
So, in striking down on vagueness grounds a vagrancy ordinance, we emphasized the “unfettered discretion it places in the hands of the... police.” Papachristou v. City of Jacksonville, 405 U. S. 156, 168 (1972). Such flexibility was deemed constitutionally offensive because it “permits and encourages an arbitrary and discriminatory enforcement of the law.” Id., at 170. Partly for similar reasons, we have consistently held violative of the First Amendment ordinances which make the ability to engage in constitutionally protected speech “contingent upon the uncontrolled will of an official—as by requiring a permit or license which may be granted or withheld in the discretion of such official.” Staub v. City of Baxley, 355 U. S. 313, 322 (1958); accord, Shuttlesworth v. City of Birmingham, 394 U. S. 147, 151, 153 (1969). Analogous considerations inform our understanding of the dictates of the Due Process Clause. Concurring in the judgment in Zablocki v. Redhail, 434 U. S. 374 (1978), striking down a statute that conditioned the right to marry upon the satisfaction of child-support obligations, JUSTICE POWELL aptly observed:
“Quite apart from any impact on the truly indigent, the statute appears to ‘confer upon [the judge] a license for arbitrary procedure,’ in the determination of whether an applicant‘s children are ‘likely thereafter to become public charges.’ A serious question of procedural due process is raised by this feature of standardless discretion, particularly in light of the hazards of prediction in this area.” Id., at 402, n. 4 (quoting Kent v. United States, 383 U. S. 541, 553 (1966)).
IV
The majority acknowledges—indeed, founds much of its argument upon—the principle that a State has both the power and the responsibility to protect the interests of the children within its jurisdiction. See Santosky v. Kramer, supra, at 766. Yet the majority today upholds a statute whose net impact on the juveniles who come within its purview is overwhelmingly detrimental. Most persons detained under the provision reap no benefit and suffer serious injuries thereby. The welfare of only a minority of the detainees is even arguably enhanced. The inequity of this regime, combined with
I respectfully dissent.
Notes
“This business now of being able to get guns, is now completely out of proportion. We are living in a jungle. We are living in a jungle, and it is time that these youths that are brought before the Court, know that they are in a Court, and that if these allegations are true, that they are going to pay the penalty.
...
“As for the reasons I just state[d] on the record, ... I am remand[ing] the respondent to the Commissioner of Juvenile Justice, secure detention.”
