14 Day 14 14 Day 14
14.1 Lassiter v. Department of Social Services 14.1 Lassiter v. Department of Social Services
In Lassiter, the Court begins with the presumption that there is no right to appointed counsel in cases in which the person faces no danger of losing physical liberty (incarceration). Note that in a case you will read later in the semester, Turner v. Rogers, the court abandons the distinction it uses here (cases involving physical liberty versus those that do not). For now, take the Lassiter opinion seriously. According to the court, the next step is to “balance these elements [of the three-factor Mathews approach] against each other, and then set their net weight in the scales against the presumption.”
Take a careful look at how the Court applies the Mathews test in Lassiter. How is the government’s interest in Lassiter different (and similar) to that in Mathews? Which element does the holding ultimately hinge on?
LASSITER v. DEPARTMENT OF SOCIAL SERVICES OF DURHAM COUNTY, NORTH CAROLINA
No. 79-6423.
Argued February 23, 1981
Decided June 1, 1981
*19Stewart, J., delivered the opinion of the Court, in which Burger, C. J., and White, Powell, and Rehnquist, JJ., joined. Burger, C. J., filed a concurring opinion, post, p. 34. Blackmun, J., filed a dissenting opinion, in which Brennan and Marshall, JJ., joined, post, p. 35. Stevens, J., filed a dissenting opinion, post, p. 59.
Leowen Evans argued the cause pro hoc vice for petitioner. With him on the briefs were Gregory C. Malhoit and Robert L. Walker.
Thomas Russell Odom argued the cause for respondent. With him on the brief was Lester W. Owen.
*20Steven Mansfield Shaber, Assistant Attorney General, argued the cause for the State of North Carolina as amicus curiae urging affirmance. With him on the brief for the State of North Carolina et al. as amici curiae were Rufus L. Edmisten, Attorney General of North Carolina; Richard S. Gebelein, Attorney General of Delaware, and Regina Mullen Small, State Solicitor; Bill Allain, Attorney General of Mississippi, and Jim R. Bruce, Special Assistant Attorney General; Jim Smith, Attorney General of Florida, and Sidney H. McKenzie, Assistant Attorney General; Richard R. Bryan, Attorney General of Nevada, and Claudia K. Cormier, Deputy Attorney General; and Steve Clark, Attorney General of Arkansas, and Robert R. Ross, Deputy Attorney General.*
delivered the opinion of the Court.
I
In the late spring of 1975, after hearing evidence that the petitioner, Abby Gail Lassiter, had not provided her infant son William with proper medical care, the District Court of Durham County, N. C., adjudicated him a neglected child and transferred him to the custody of the Durham County Department of Social Services, the respondent here. A year later, Ms. Lassiter was charged with first-degree murder, was convicted of second-degree murder, and began a sentence of 25 to 40 years of imprisonment.1 In 1978 the Department *21petitioned the court to terminate Ms. Lassiter’s parental rights because, the Department alleged, she “has not had any contact with the child since December of 1975” and “has willfully left the child in foster care for more than two consecutive years without showing that substantial progress has been made in correcting the conditions which led to the removal of the child, or without showing a positive response to the diligent efforts of the Department of Social Services to strengthen her relationship to the child, or to make and follow through with constructive planning for the future of the child.”
Ms. Lassiter was served with the petition and with notice that a hearing on it would be held. Although her mother had retained counsel for her in connection with an effort to invalidate the murder conviction, Ms. Lassiter never mentioned the forthcoming hearing to him (or, for that matter, to any other person except, she said, to “someone” in the prison). At the behest of the Department of Social Services’ attorney, she was brought from prison to the hearing, which was held August 31, 1978. The hearing opened, apparently at the judge’s instance, with a discussion of whether Ms. Lassiter should have more time in which to find legal assistance. *22Since the court concluded that she “has had ample opportunity to seek and obtain counsel prior to the hearing of this matter, and [that] her failure to do so is without just cause,” the court did not postpone the proceedings. Ms. Lassiter did not aver that she was indigent, and the court did not appoint counsel for her.
A social worker from the respondent Department was the first witness. She testified that in 1975 the Department “received a complaint from Duke Pediatrics that William had not been followed in the pediatric clinic for medical problems and that they were having difficulty in locating Ms. Las-siter . . . .” She said that in May 1975 a social worker had taken William to the hospital, where doctors asked that he stay “because of breathing difficulties [and] malnutrition and [because] there was a great deal of scarring that indicated that he had a severe infection that had gone untreated.” The witness further testified that, except for one “prearranged” visit and a chance meeting on the street, Ms. Las-siter had not seen William after he had come into the State’s custody, and that neither Ms. Lassiter nor her mother had “made any contact with the Department of Social Services regarding that child.” When asked whether William should be placed in his grandmother’s custody, the social worker said he should not, since the grandmother “has indicated to me on a number of occasions that she was not able to take responsibility for the child” and since “I have checked with people in the community and from Ms. Lassiter’s church who also feel that this additional responsibility would be more than she can handle.” The social worker added that William “has not seen his grandmother since the chance meeting in July of ’76 and that was the only time.”
After the direct examination of the social worker, the judge said:
“I notice we made extensive findings in June of ’75 that you were served with papers and called the social *23services and told them you weren’t coming; and the serious lack of medical treatment. And, as I have said in my findings of the 16th day of June ’75, the Court finds that the grandmother, Ms. Lucille Lassiter, mother of Abby Gail Lassiter, filed a complaint on the 8th day of May, 1975, alleging that the daughter often left the children, Candina, Felicia and William L. with her for days without providing money or food while she was gone.”
Ms. Lassiter conducted a cross-examination of the social worker, who firmly reiterated her earlier testimony. The judge explained several times, with varying degrees of clarity, that Ms. Lassiter should only ask questions at this stage; many of her questions were disallowed because they were not really questions, but arguments.
Ms. Lassiter herself then testified, under the judge’s questioning, that she had properly cared for William. Under cross-examination, she said that she had seen William more than five or six times after he had been taken from her custody and that, if William could not be with her, she wanted him to be with her mother since, “He knows us. Children know they family. . . . They know they people, they know they family and that child knows us anywhere. ... I got four more other children. Three girls and a boy and they know they little brother when they see him.”
Ms. Lassiter’s mother was then called as a witness. She denied, under the questioning of the judge, that she had filed the complaint against Ms. Lassiter, and on cross-examination she denied both having failed to visit William when he was in the State’s custody and having said that she could not care for him.
The court found that Ms. Lassiter “has not contacted the Department of Social Services about her child since December, 1975, has not expressed any concern for his care and welfare, and has made no efforts to plan for his future.” Be*24cause Ms. Lassiter thus had “wilfully failed to maintain concern or responsibility for the welfare of the minor,” and because it was “in the best interests of the minor,” the court terminated Ms. Lassiter’s status as William’s parent.2
On appeal, Ms. Lassiter argued only that, because she was indigent, the Due Process Clause of the Fourteenth Amendment entitled her to the assistance of counsel, and that the trial court had therefore erred in not requiring the State to provide counsel for her. The North Carolina Court of Appeals decided that “[w]hile this State action does invade a protected area of individual privacy, the invasion is not so serious or unreasonable as to compel us to hold that appointment of counsel for indigent parents is constitutionally mandated.” In re Lassiter, 43 N. C. App. 525, 527, 259 S. E. 2d 336, 337. The Supreme Court of North Carolina summarily denied Ms. Lassiter’s application for discretionary review, 299 N. C. 120, 262 S. E. 2d 6, and we granted certiorari to consider the petitioner’s claim under the Due Process Clause of the Fourteenth Amendment, 449 U. S. 819.
II
For all its consequence, “due process” has never been, and perhaps can never be, precisely defined. “ [U] nlike some legal rules,” this Court has said, due process “is not a technical conception with a fixed content unrelated to time, place and circumstances.” Cafeteria Workers v. McElroy, 367 U. S. 886, 895. Rather, the phrase expresses the requirement of “fundamental fairness,” a requirement whose meaning can be as opaque as its importance is lofty. Applying the Due Process Clause is therefore an uncertain enterprise which *25must discover what “fundamental fairness” consists of in a particular situation by first considering any relevant precedents and then by assessing the several interests that are at stake.
A
The pre-eminent generalization that emerges from this Court’s precedents on an indigent’s right to appointed counsel is that such a right has been recognized to exist only where the litigant may lose his physical liberty if he loses the litigation. Thus, when the Court overruled the principle of Betts v. Brady, 316 U. S. 455, that counsel in criminal trials need be appointed only where the circumstances in a given case demand it, the Court did so in the case of a man sentenced to prison for five years. Gideon v. Wainwright, 372 U. S. 335. And thus Argersinger v. Hamlin, 407 U. S. 25, established that counsel must be provided before any indigent may be sentenced to prison, even where the crime is petty and the prison term brief.
That it is the defendant’s interest in personal freedom, and not simply the special Sixth and Fourteenth Amendments right to counsel in criminal cases, which triggers the right to appointed counsel is demonstrated by the Court’s announcement in In re Gault, 387 U. S. 1, that “the Due Process Clause of the Fourteenth Amendment requires that in respect of proceedings to determine delinquency which may result in commitment to an institution in which the juvenile’s freedom is curtailed,” the juvenile has a right to appointed counsel even though those proceedings may be styled “civil” and not “criminal.” Id., at 41 (emphasis added). Similarly, four of the five Justices who reached the merits in Vitek v. Jones, 445 U. S. 480, concluded that an indigent prisoner is entitled to appointed counsel before being involuntarily transferred for treatment to a state mental hospital. The fifth Justice differed from the other four only in declining to exclude the “possibility that the required assist-*26anee may be rendered by competent laymen in some cases.” Id., at 500 (separate opinion of Powell, J.).
Significantly, as a litigant’s interest in personal liberty diminishes, so does his right to appointed counsel. In Gag-non v. Scarpelli, 411 U. S. 778, the Court gauged the due process rights of a previously sentenced probationer at a probation-revocation hearing. In Morrissey v. Brewer, 408 U. S. 471, 480, which involved an analogous hearing to revoke parole, the Court had said: “Revocation deprives an individual, not of the absolute liberty to which every citizen is entitled, but only of the conditional liberty properly dependent on observance of special parole restrictions.” Relying on that discussion, the Court in Scarpelli declined to hold that indigent probationers have, per se, a right to counsel at revocation hearings, and instead left the decision whether counsel should be appointed to be made on a case-by-case basis.
Finally, the Court has refused to extend the right to appointed counsel to include prosecutions which, though criminal, do not result in the defendant’s loss of personal liberty. The Court in Scott v. Illinois, 440 U. S. 367, for instance, interpreted the “central premise of Argersinger” to be “that actual imprisonment is a penalty different in kind from fines or the mere threat of imprisonment,” and the Court endorsed that premise as “eminently sound and warrant [ing] adoption of actual imprisonment as the line defining the constitutional right to appointment of counsel.” Id., at 373. The Court thus held “that the Sixth and Fourteenth Amendments to the United States Constitution require only that no indigent criminal defendant be sentenced to a term of imprisonment unless the State has afforded him the right to assistance of appointed counsel in his defense.” Id., at 373-374.
In sum, the Court’s precedents speak with one voice about what “fundamental fairness” has meant when the Court has considered the right to appointed counsel, and we thus draw from them the presumption that an indigent litigant has a *27right to appointed counsel only when, if he loses, he may be deprived of his physical liberty. It is against this presumption that all the other elements in the due process decision must be measured.
B
The case of Mathews v. Eldridge, 424 U. S. 319, 335, propounds three elements to be evaluated in deciding what due process requires, viz., the private interests at stake, the government’s interest, and the risk that the procedures used will lead to erroneous decisions. We must balance these elements against each other, and then set their net weight in the scales against the presumption that there is a right to appointed counsel only where the indigent, if he is unsuccessful, may lose his personal freedom.
This Court’s decisions have by now made plain beyond the need for multiple citation that a parent’s desire for and right to “the companionship, care, custody, and management of his or her children” is an important interest that “undeniably warrants deference and, absent a powerful countervailing interest, protection.” Stanley v. Illinois, 405 U. S. 645, 651. Here the State has sought not simply to infringe upon that interest, but to end it. If the State prevails, it will have worked a unique kind of deprivation. Cf. May v. Anderson, 345 U. S. 528, 533; Armstrong v. Manzo, 380 U. S. 545. A parent’s interest in the accuracy and justice of the decision to terminate his or her parental status is, therefore, a commanding one.3
Since the State has an urgent interest in the welfare of the child, it shares the parent’s interest in an accurate and just decision. For this reason, the State may share the indigent parent’s interest in the availability of appointed coun*28sel. If, as our adversary system presupposes, accurate and just results are most likely to be obtained through the equal contest of opposed interests, the State’s interest in the child’s welfare may perhaps best be served by a hearing in which both the parent and the State acting for the child are represented by counsel, without whom the contest of interests may become unwholesomely unequal. North Carolina itself acknowledges as much by providing that where a parent files a written answer to a termination petition, the State must supply a lawyer to represent the child. N. C. Gen. Stat. § 7A-289.29 (Supp. 1979).
The State’s interests, however, clearly diverge from the parent’s insofar as the State wishes the termination decision to be made as economically as possible and thus wants to avoid both the expense of appointed counsel and the cost of the lengthened proceedings his presence may cause. But though the State’s pecuniary interest is legitimate, it is hardly significant enough to overcome private interests as important as those here, particularly in light of the concession in the respondent’s brief that the “potential costs of appointed counsel in termination proceedings ... is [sic] admittedly de minimis compared to the costs in all criminal actions.”
Finally, consideration must be given to the risk that a parent will be erroneously deprived of his or her child because the parent is not represented by counsel. North Carolina law now seeks to assure accurate decisions by establishing the following procedures: A petition to terminate parental rights may be filed only by a parent seeking the termination of the other parent’s rights, by a county department of social services or licensed child-placing agency with custody of the child, or by a person with whom the child has lived continuously for the two years preceding the petition. § 7A-289.24. A petition must describe facts sufficient to warrant a finding that one of the grounds for termination exists, § 7A-289.25 (6), and the parent must be notified of the petition and given 30 days in which to file a written answer to it, *29§ 7A-289.27. If that answer denies a material allegation, the court must, as has been noted, appoint a lawyer as the child’s guardian ad litem and must conduct a special hearing to resolve the issues raised by the petition and the answer. § 7A-289.29. If the parent files no answer, “the court shall issue an order terminating all parental and custodial rights . . . ; provided the court shall order a hearing on the petition and may examine the petitioner or others on the facts alleged in the petition.” § 7A-289.28. Findings of fact are made by a court sitting without a jury and must “be based on clear, cogent, and convincing evidence.” § 7A-289.30. Any party may appeal who gives notice of appeal within 10 days after the hearing. § 7A-289.34.4
The respondent argues that the subject of a termination hearing — the parent’s relationship with her child — far from being abstruse, technical, or unfamiliar, is one as to which the parent must be uniquely well informed and to which the parent must have given prolonged thought. The respondent also contends that a termination hearing is not likely to produce difficult points of evidentiary law, or even of substantive law, since the evidentiary problems peculiar to criminal trials are not present and since the standards for termination are not complicated. In fact, the respondent reports, the North Carolina Departments of Social Services are themselves sometimes represented at termination hearings by social workers instead of by lawyers.5
*30Yet the ultimate issues with which a termination hearing deals are not always simple, however commonplace they may be. Expert medical and psychiatric testimony, which few parents are equipped to understand and fewer still to confute, is sometimes presented. The parents are likely to be people with little education, who have had uncommon difficulty in dealing with life, and who are, at the hearing, thrust into a distressing and disorienting situation. That these factors may combine to overwhelm an uncounseled parent is evident from the findings some courts have made. See, e. g., Davis v. Page, 442 F. Supp. 258, 261 (SD Fla. 1977); State v. Jamison, 251 Ore. 114, 117-118, 444 P. 2d 15, 17 (1968). Thus, courts have generally held that the State must appoint counsel for indigent parents at termination proceedings. State ex rel. Heller v. Miller, 61 Ohio St. 2d 6, 399 N. E. 2d 66 (1980); Department of Public Welfare v. J. K. B., 379 Mass. 1, 393 N. E. 2d 406 (1979); In re Chad S., 580 P. 2d 983 (Okla. 1978); In re Myricks, 85 Wash. 2d 252, 533 P. 2d 841 (1975); Crist v. Division of Youth and Family Services, 128 N. J. Super. 102, 320 A. 2d 203 (1974); Danforth v. Maine Dept. of Health and Welfare, 303 A. 2d 794 (Me. 1973); In re Friesz, 190 Neb. 347, 208 N. W. 2d 259 (1973).6 The respondent is able to point to no presently authoritative case, except for the North Caro*31lina judgment now before us, holding that an indigent parent has no due process right to appointed counsel in termination proceedings.
C
The dispositive question, which must now be addressed, is whether the three Eldridge factors, when weighed against the presumption that there is no right to appointed counsel in the absence of at least a potential deprivation of physical liberty, suffice to rebut that presumption and thus to lead to the conclusion that the Due Process Clause requires the appointment of counsel when a State seeks to terminate an indigent’s parental status. To summarize the above discussion of the Eldridge factors: the parent’s interest is an extremely important one (and may be supplemented by the dangers of criminal liability inherent in some termination proceedings); the State shares with the parent an interest in a correct decision, has a relatively weak pecuniary interest, and, in some but not all cases, has a possibly stronger interest in informal procedures; and the complexity of the proceeding and the incapacity of the uncounseled parent could be, but would not always be, great enough to make the risk of an erroneous deprivation of the parent’s rights insupportably high.
If, in a given case, the parent’s interests were at their strongest, the State’s interests were at their weakest, and the risks of error were at their peak, it could not be said that the Eldridge factors did not overcome the presumption against the right to appointed counsel, and that due process did not therefore require the appointment of counsel. But since the Eldridge factors will not always be so distributed, and since “due process is not so rigid as to require that the significant interests in informality, flexibility and economy must always be sacrificed,” Gagnon v. Scarpelli, 411 U. S., at 788, neither can we say that the Constitution requires the appointment of counsel in every parental termination proceeding. We therefore adopt the standard found appropriate in Gagnon v. Scar-*32pelli, and leave the decision whether due process calls for the appointment of counsel for indigent parents in termination proceedings to be answered in the first instance by the trial court, subject, of course, to appellate review. See, e. g., Wood v. Georgia, 450 U. S. 261.
Ill
Here, as in Scarpelli, “[i]t is neither possible nor prudent to attempt to formulate a precise and detailed set of guidelines to be followed in determining when the providing of counsel is necessary to meet the applicable due process requirements,” since here, as in that case, “[t]he facts and circumstances . . . are susceptible of almost infinite variation . . . .” 411 U. S., at 790. Nevertheless, because child-custody litigation must be concluded as rapidly as is consistent with fairness,7 we decide today whether the trial judge denied Ms. Lassiter due process of law when he did not appoint counsel for her.
The respondent represents that the petition to terminate Ms. Lassiter’s parental rights contained no allegations of neglect or abuse upon which criminal charges could be based, and hence Ms. Lassiter could not well have argued that she required counsel for that reason. The Department of Social Services was represented at the hearing by counsel, but no expert witnesses testified, and the case presented no specially troublesome points of law, either procedural or substantive. While hearsay evidence was no doubt admitted, and while Ms. Lassiter no doubt left incomplete her defense that the Department had not adequately assisted her in rekindling her interest in her son, the weight of the evidence that she had few sparks of such an interest was sufficiently great that the *33presence of counsel for Ms. Lassiter could not have made a determinative difference. True, a lawyer might have done more with the argument that William should live with Ms. Lassiter’s mother — but that argument was quite ex-plicity made by both Lassiters, and the evidence that the elder Ms. Lassiter had said she could not handle another child, that the social worker’s investigation had led to a similar conclusion, and that the grandmother had displayed scant interest in the child once he had been removed from her daughter’s custody was, though controverted, sufficiently substantial that the absence of counsel’s guidance on this point did not render the proceedings fundamentally unfair.8 Finally, a court deciding whether due process requires the appointment of counsel need not ignore a parent’s plain demonstration that she is not interested in attending a hearing. Here, the trial court had previously found that Ms. Las-siter had expressly declined to appear at the 1975 child custody hearing, Ms. Lassiter had not even bothered to speak to her retained lawyer after being notified of the termination hearing, and the court specifically found that Ms. Lassiter’s failure to make an effort to contest the termination proceeding was without cause. In view of all these circumstances, we hold that the trial court did not err in failing to appoint counsel for Ms. Lassiter.
IV
In its Fourteenth Amendment, our Constitution imposes on the States the standards necessary to ensure that judicial proceedings are fundamentally fair. A wise public policy, however, may require that higher standards be adopted than those minimally tolerable under the Constitution. Informed opinion has clearly come to hold that an indigent parent is *34entitled to the assistance of appointed counsel not only in parental termination proceedings, but in dependency and neglect proceedings as well. IJA-ARA Standards for Juvenile Justice, Counsel for Private Parties 2.3 (b) (1980); Uniform Juvenile Court Act § 26 (a), 9A U. L. A. 35 (1979); National Council on Crime and Delinquency, Model Rules for Juvenile Courts, Rule 39 (1969); U. S. Dept, of HEW, Children’s Bureau, Legislative Guide for Drafting Family and Juvenile Court Acts §25 (b) (1969); U. S. Dept, of HEW, Children’s Bureau, Legislative Guides for the Termination of Parental Rights and Responsibilities and the Adoption of Children, Pt. II, § 8 (1961); National Council on Crime and Delinquency, Standard Juvenile Court Act § 19 (1959). Most significantly, 33 States and the District of Columbia provide statutorily for the appointment of counsel in termination cases. The Court’s opinion today in no way implies that the standards increasingly urged by informed public opinion and now widely followed by the States are other than enlightened and wise.
For the reasons stated in this opinion, the judgment is affirmed.
It is so ordered.
concurring.
I join the Court’s opinion and add only a few words to emphasize a factor I believe is misconceived by the dissenters. The purpose of the termination proceeding at issue here was not “punitive.” Post, at 48. On the contrary, its purpose was protective of the child’s best interests. Given the record in this ease, which involves the parental rights of a mother under lengthy sentence for murder who showed little interest in her son, the writ might well have been a “candidate” for dismissal as improvidently granted. See ante, at 32-33. However, I am content to join the narrow holding of the Court, leaving the appointment of counsel in termination *35proceedings to be determined by the state courts on a case-by-case basis.
with whom Justice Brennan and Justice Marshall join,
dissenting.
The Court today denies an indigent mother the representation of counsel in a judicial proceeding initiated by the State of North Carolina to terminate her parental rights with respect to her youngest child. The Court most appropriately recognizes that the mother’s interest is a “commanding one,” ante, at 27, and it finds no countervailing state interest of even remotely comparable significance, see ante, at 27-28, 31. Nonetheless, the Court avoids what seems to me the obvious conclusion that due process requires the presence of counsel for a parent threatened with judicial termination of parental rights, and, instead, revives an ad hoc approach thoroughly discredited nearly 20 years ago in Gideon v. Wainwright, 372 U. S. 335 (1963). Because I believe that the unique importance of a parent’s interest in the care and custody of his or her child cannot constitutionally be extinguished through formal judicial proceedings without the benefit of counsel, I dissent.
I
This Court is not unfamiliar with the problem of determining under what circumstances legal representation is mandated by the Constitution. In Betts v. Brady, 316 U. S. 455 (1942), it reviewed at length both the tradition behind the Sixth Amendment right to counsel in criminal trials and the historical practices of the States in that area. The decision in Betts — that the Sixth Amendment right to counsel did not apply to the States and that the due process guarantee of the Fourteenth Amendment permitted a flexible, case-by-case determination of the defendant’s need for counsel in state criminal trials — was overruled in Gideon v. Wainwright, 372 U. S., at 345. The Court in Gideon rejected the Betts *36reasoning to the effect that counsel for indigent criminal defendants was “ 'not a fundamental right, essential to a fair trial.’ ” 372 U. S., at 340 (quoting Betts v. Brady, 316 U. S., at 471). Finding the right well founded in its precedents, the Court further concluded that ''reason and reflection require us to recognize that in our adversary system of criminal justice, any person haled into court, who is too poor to hire a lawyer, cannot be assured a fair trial unless counsel is provided for him.” 372 U. S., at 344. Similarly, in Argersinger v. Hamlin, 407 U. S. 25 (1972), assistance of counsel was found to be a requisite under the Sixth Amendment, as incorporated into the Fourteenth, even for a misdemeanor offense punishable by imprisonment for less than six months.1
Outside the criminal context, however, the Court has relied on the flexible nature of the due process guarantee whenever it has decided that counsel is not constitutionally required. The special purposes of probation revocation determinations, and the informal nature of those administrative proceedings, including the absence of counsel for the State, led the Court to conclude that due process does not require counsel for probationers. Gagnon v. Scarpelli, 411 U. S. 778, 785-789 (1973). In the case of school disciplinary proceedings, which are brief, informal, and intended in part to be educative, the Court also found no requirement for legal counsel. Goss v. Lopez, 419 U. S. 565, 583 (1975). Most recently, the Court declined to intrude the presence of counsel for a minor facing voluntary civil commitment by his parent, because of the parent’s substantial role in that decision and because of the decision’s essentially medical and informal nature. Parham v. J. R., 442 U. S. 584, 604-609 (1979).
In each of these instances, the Court has recognized that *37what process is due varies in relation to the interests at stake and the nature of the governmental proceedings. Where the individual’s liberty interest is of diminished or less than fundamental stature, or where the prescribed procedure involves informal decisionmaking without the trappings of an adversarial trial-type proceeding, counsel has not been a requisite of due process. Implicit in this analysis is the fact that the contrary conclusion sometimes may be warranted. Where an individual’s liberty interest assumes sufficiently weighty constitutional significance, and the State by a formal and adversarial proceeding seeks to curtail that interest, the right to counsel may be necessary to ensure fundamental fairness. See In re Gault, 387 U. S. 1 (1967). To say this is simply to acknowledge that due process allows for the adoption of different rules to address different situations or contexts.
It is not disputed that state intervention to terminate the relationship between petitioner and her child must be accomplished by procedures meeting the requisites of the Due Process Clause. Nor is there any doubt here about the kind of procedure North Carolina has prescribed. North Carolina law requires notice and a trial-type hearing before the State on its own initiative may sever the bonds of parenthood. The decisionmaker is a judge, the rules of evidence are in force, and the State is represented by counsel. The question, then, is whether proceedings in this mold, that relate to a subject so vital, can comport with fundamental fairness when the defendant parent remains unrepresented by counsel. As the Court today properly acknowledges, our consideration of the process due in this context, as in others, must rely on’ a balancing of the competing private and public interests, an approach succinctly described in Mathews v. Eldridge, 424 U. S. 319, 335 (1976).2 As does the majority, I *38evaluate the “three distinct factors” specified in Eldridge: the private interest affected; the risk of error under the procedure employed by the State; and the countervailing governmental interest in support of the challenged procedure.
A
At stake here is “the interest of a parent in the companionship, care, custody, and management of his or her children.” Stanley v. Illinois, 405 U. S. 645, 651 (1972). This interest occupies a unique place in our legal culture, given the centrality of family life as the focus for personal meaning and responsibility. “[F]ar more precious . . . than property rights,” May v. Anderson, 345 U. S. 528, 533 (1953), parental rights have been deemed to be among those “essential to the orderly pursuit of happiness by free men,” Meyer v. Nebraska, 262 U. S. 390, 399 (1923), and to be more significant and priceless than “ ‘liberties which derive merely from shifting economic arrangements.’ ” Stanley v. Illinois, 405 U. S., at 651, quoting Kovacs v. Cooper, 336 U. S. 77, 95 (1949) (Frankfurter, J., concurring). Accordingly, although the Constitution is verbally silent on the specific subject of families, freedom of personal choice in matters of family life long has been viewed as a fundamental liberty interest worthy of protection under the Fourteenth Amendment. Smith v. Organization of Foster Families, 431 U. S. 816, 845 (1977); Moore v. East Cleveland, 431 U. S. 494, 499 (1977) (plurality opinion); Prince v. Massachusetts, 321 U. S. 158, 166 (1944); Pierce v. Society of Sisters, 268 U. S. 510, 534-535 (1925); Meyer v. Nebraska, 262 U. S., at 399. Within the general ambit of family integrity, the Court has accorded a high degree of constitutional respect to a natural parent’s interest both in controlling the details of the child’s upbring*39ing, Wisconsin v. Yoder, 406 U. S. 205, 232-234 (1972); Pierce v. Society of Sisters, 268 U. S., at 534-535, and in retaining the custody and companionship of the child, Smith v. Organization of Foster Families, 431 U. S., at 842-847; Stanley v. Illinois, 405 U. S., at 651.
In this case, the State’s aim is not simply to influence the parent-child relationship but to extinguish it. A termination of parental rights is both total and irrevocable.3 Unlike other custody proceedings, it leaves the parent with no right to visit or communicate with the child, to participate in, or even to know about, any important decision affecting the child’s religious, educational, emotional, or physical development. It is hardly surprising that this forced dissolution of the parent-child relationship has been recognized as a punitive sanction by courts,4 Congress,5 and commenta*40tors.6 The Court candidly notes, as it must, ante, at 27, that termination of parental rights by the State is a “unique kind of deprivation.”
The magnitude of this deprivation is of critical significance in the due process calculus, for the process to which an individual is entitled is in part determined “by the extent to which he may be 'condemned to suffer grievous loss.’ ” Goldberg v. Kelly, 397 U. S. 254, 263 (1970), quoting Joint AntiFascist Refugee Committee v. McGrath, 341 U. S. 123, 168 (1951) (Frankfurter, J., concurring). See Little v. Streater, ante, at 12; Morrissey v. Brewer, 408 U. S. 471, 481 (1972). Surely there can be few losses more grievous than the abrogation of parental rights. Yet the Court today asserts that this deprivation somehow is less serious than threatened losses deemed to require appointed counsel, because in this instance the parent’s own “personal liberty” is not at stake.
I do not believe that our cases support the “presumption” asserted, ante, at 26-27, that physical confinement is the only loss of liberty grievous enough to trigger a right to appointed counsel under the Due Process Clause. Indeed, incarceration has been found to be neither a necessary nor a sufficient condition for requiring counsel on behalf of an indigent defendant. The prospect of canceled parole or probation, with its consequent deprivation of personal liberty, has not led the Court to require counsel for a prisoner facing a revocation proceeding. Gagnon v. Scarpelli, 411 U. S., at 785—789 ; Morrissey v. Brewer, 408 U. S., at 489. On the other hand, the fact that no new incarceration was threatened by a transfer from prison to a mental hospital did not preclude the Court’s recognition of adverse changes in the conditions of *41confinement and of the stigma that presumably is associated with being labeled mentally ill. Vitek v. Jones, 445 U. S. 480, 492, 494 (1980). For four Members of the Court, these "other deprivations of liberty,” coupled with the possibly diminished mental capacity of the prisoner, compelled the provision of counsel for any indigent prisoner facing a transfer hearing. Id,., at 496-497 (opinion of White, J., joined by Brennan, Marshall, and Stevens, JJ.).7 See also In re Gault, 387 U. S., at 24-25.
Moreover, the Court's recourse to a “pre-eminent generalization,” ante, at 25, misrepresents the importance of our flexible approach to due process. That approach consistently has emphasized attentiveness to the particular context. Once an individual interest is deemed sufficiently substantial or fundamental, determining the constitutional necessity of a requested procedural protection requires that we examine the nature of the proceeding — both the risk of error if the protection is not provided and the burdens created by its imposition.8 Compare Goldberg v. Kelly, 397 U. S. 254 (1970), *42with Mathews v. Eldridge, 424 U. S. 319 (1976), and Fuentes v. Shevin, 407 U. S. 67 (1972), with Mitchell v. W. T. Grant Co., 416 U. S. 600 (1974).
Rather than opting for the insensitive presumption that incarceration is the only loss of liberty sufficiently onerous to justify a right to appointed counsel, I would abide by the Court’s enduring commitment to examine the relationships among the interests on both sides, and the appropriateness of counsel in the specific type of proceeding. The fundamental significance of the liberty interests at stake in a parental termination proceeding is undeniable, and I would find this first portion of the due process balance weighing heavily in favor of refined procedural protections. The second Eld-ridge factor, namely, the risk of error in the procedure provided by the State, must then be reviewed with, some care.
B
The method chosen by North Carolina to extinguish parental rights resembles in many respects a criminal prosecution. Unlike the probation revocation procedure reviewed in Gagnon v. Scarpelli, on which the Court so heavily relies, the termination procedure is distinctly formal and adversarial. The State initiates the proceeding by filing a petition in district court, N. C. Gen. Stat. §§ 7A-289.23 and 7A-289.25 (Supp. 1979),9 and serving a summons on the parent, § 7A-289.27 (1). A state judge presides over the adjudicatory hearing that follows, and the hearing is conducted pursuant to the formal rules of evidence and procedure. N. C. Rule Civ. Proc. 1, N. C. Gen. Stat. § 1A-1 (Supp. 1979). In gen*43eral, hearsay is inadmissible and records must be authenticated. See, e. g., § 1A-1, Rules 1, 43, 44, 46.
In addition, the proceeding has an obvious accusatory and punitive focus. In moving to terminate a parent’s rights, the State has concluded that it no longer will try to preserve the family unit, but instead will marshal an array of public resources to establish that the parent-child separation must be made permanent.10 The State has legal representation through the county attorney. This lawyer has access to public records concerning the family and to professional social workers who are empowered to investigate the family situation and to testify against the parent. The State’s legal representative may also call upon experts in family relations, psychology, and medicine to bolster the State’s case. And, of course, the State’s counsel himself is an expert in the legal standards and techniques employed at the termination proceeding, including the methods of cross-examination.
*44In each of these respects, the procedure devised by the State vastly differs from the informal and rehabilitative probation revocation decision in Scarpelli, the brief, educative school disciplinary procedure in Goss, and the essentially medical decision in Parham. Indeed, the State here has prescribed virtually all the attributes of a formal trial as befits the severity of the loss at stake in the termination decision — every attribute, that is, except counsel for the defendant parent. The provision of counsel for the parent would not alter the character of the proceeding, which is already adversarial, formal, and quintessentially legal. It, however, would diminish the prospect of an erroneous termination, a prospect that is inherently substantial, given the gross disparity in power and resources between the State and the uncounseled indigent parent.11
The prospect of error is enhanced in light of the legal standard against which the defendant parent is judged. As demonstrated here, that standard commonly adds another dimension to the complexity of the termination proceeding. Bather than focusing on the facts of isolated acts or omissions, the State’s charges typically address the nature and quality of complicated ongoing relationships among parent, child, other relatives, and even unrelated parties. In the case at bar, the State’s petition accused petitioner of two of the several grounds authorizing termination of parental rights under North Carolina law:
“That [petitioner] has without cause, failed to establish or maintain concern or responsibility as to the child’s welfare.
“That [petitioner] has willfully left the child in foster care for more than two consecutive years without show*45ing that substantial progress has been made in correcting the conditions which led to the removal of the child [for neglect], or without showing a positive response to the diligent efforts of the Department of Social Services to strengthen her relationship to the child, or to make and follow through with constructive planning for the future of the child.” (Emphasis supplied.) Juvenile Petition ¶¶ 6, 7, App. 3.12
The legal issues posed by the State’s petition are neither simple nor easily defined. The standard is imprecise and open to the subjective values of the judge.13 A parent seeking to prevail against the State must be prepared to adduce evidence about his or her personal abilities and lack of fault, as well as proof of progress and foresight as a parent that the State would deem adequate and improved over the situation underlying a previous adverse judgment of child neglect. The parent cannot possibly succeed without being able to identify material issues, develop defenses, gather and present *46sufficient supporting nonliearsay evidence, and conduct cross-examination of adverse witnesses.
The Court, of course, acknowledges, ante, at 30, that these tasks “may combine to overwhelm an uncounseled parent.” I submit that that is a profound understatement. Faced with a formal accusatory adjudication, with an adversary— the State — that commands great investigative and prosecu-torial resources, with standards that involve ill-defined notions of fault and adequate parenting, and with the inevitable tendency of a court to apply subjective values or to defer to the State’s “expertise,” the defendant parent plainly is outstripped if he or she is without the assistance of “ 'the guiding hand of counsel.’ ” In re Gault, 387 U. S., at 36, quoting Powell v. Alabama, 287 U. S. 45, 69 (1932). When the parent is indigent, lacking in education, and easily intimidated by figures of authority,14 the imbalance may well become insuperable.
The risk of error thus is severalfold. The parent who actually has achieved the improvement or quality of parenting the State would require may be unable to establish this fact. The parent who has failed in these regards may be unable to demonstrate cause, absence of willfulness, or lack of agency diligence as justification. And errors of fact or law in the State’s case may go unchallenged and uncorrected.15 Given *47the weight of the interests at stake, this risk of error assumes extraordinary proportions. By intimidation, inarticulateness, or confusion, a parent can lose forever all contact and involvement with his or her offspring.
c
The final factor to be considered, the interests claimed for the State, do not tip the scale against providing appointed counsel in this context. The State hardly is in a position to assert here that it seeks the informality of a rehabilitative or educative proceeding into which counsel for the parent would inject an unwelcome adversarial edge. As the Assistant Attorney General of North Carolina declared before this Court, once the State moves for termination, it “has made a decision that the child cannot go home and should not go home. It no longer has an obligation to try and restore that family.” Tr. of Oral Arg. 40.
The State may, and does, properly assert a legitimate interest in promoting the physical and emotional well-being of its minor children. But this interest is not served by terminating the rights of any concerned, responsible parent. Indeed, because North Carolina is committed to “protecting] all children from the unnecessary severance of a relationship with biological or legal parents,” § 7A-289.22 (2), “the State spites its own articulated goals when it needlessly *48separates” the parent from the child. Stanley v. Illinois, 405 U. S., at 653.16
The State also has an interest in avoiding the cost and administrative inconvenience that might accompany a right to appointed counsel. But, as the Court acknowledges, the State’s fiscal interest “is hardly significant enough to overcome private interests as important as those here.” Ante, at 28. The State’s financial concern indeed is a limited one, for the right to appointed counsel may well be restricted to those termination proceedings that are instituted by the State. Moreover, no difficult line-drawing problem would arise with respect to other types of civil proceedings. The instant due process analysis takes full account of the fundamental nature of the parental interest, the permanency of the threatened deprivation, the gross imbalance between the resources employed by the prosecuting State and those available to the indigent parent, and the relatively insubstantial cost of furnishing counsel. An absence of any one of these factors might yield a different result.17 But where, as -here, the threatened loss of liberty is severe and absolute, the State’s role is so clearly adversarial and punitive, and the cost involved is relatively slight, there is no sound basis for refusing to recognize the right to counsel as a requisite of due process in a proceeding initiated by the State to terminate parental rights.
II
A
The Court’s analysis is markedly similar to mine; it, too, analyzes the three factors listed in Mathews v. Eldridge, and it, too, finds the private interest weighty, the procedure devised by the State fraught with risks of error, and the coun*49tervailing governmental interest insubstantial. Yet, rather than follow this balancing process to its logical conclusion, the Court abruptly pulls back and announces that a defendant parent must await a case-by-case determination of his or her need for counsel. Because the three factors “will not always be so distributed,” reasons the Court, the Constitution should not be read to “requir[e] the appointment of counsel in every parental termination proceeding.” Ante, at 31 (emphasis added). This conclusion is not only illogical, but it also marks a sharp departure from the due process analysis consistently applied heretofore. The flexibility of due process, the Court has held, requires case-by-case consideration of different decisionmaking contexts, not of different litigants within a given context. In analyzing the nature of the private and governmental interests at stake, along with the risk of error, the Court in the past has not limited itself to the particular case at hand. Instead, after addressing the three factors as generic elements in the context raised by the particular case, the Court then has formulated a rule that has general application to similarly situated cases.
The Court’s own precedents make this clear. In Goldberg v. Kelly, the Court found that the desperate economic conditions experienced by welfare recipients as a class distinguished them from other recipients of governmental benefits. 397 U. S., at 264. In Mathews v. Eldridge, the Court concluded that the needs of Social Security disability recipients were not of comparable urgency, and, moreover, that existing pretermination procedures, based largely on written medical assessments, were likely to be more objective and evenhanded than typical welfare entitlement decisions. 424 U. S., at 339-345. These cases established rules translating due process in the welfare context as requiring a pretermination hearing but dispensing with that requirement in the disability benefit context. A showing that a particular welfare recipient had access to additional income, or that a disability recipient’s eligibility turned on testimony rather than *50written medical reports, would not result in an exception from the required procedural norms. The Court reasoned in Eldridge:
“To be sure, credibility and veracity may be a factor in the ultimate disability assessment in some cases. But procedural due process rules are shaped by the risk of error inherent in the truth-finding process as applied to the generality of cases, not the rare exceptions.” Id., at 344.
There are sound reasons for this. Procedural norms are devised to ensure that justice may be done in every case, and to protect litigants against unpredictable and unchecked adverse governmental action. Through experience with decisions in varied situations over time, lessons emerge that reflect a general understanding as to what is minimally necessary to assure fair play. Such lessons are best expressed to have general application which guarantees the predictability and uniformity that underlie our society’s commitment to the rule of law. By endorsing, instead, a retrospective review of the trial record of each particular defendant parent, the Court today undermines the very rationale on which this concept of general fairness is based.18
Moreover, the case-by-case approach advanced by the Court itself entails serious dangers for the interests at stake and the general administration of justice. The Court assumes that a review of the record will establish whether a defendant, proceeding without counsel, has suffered an un*51fair disadvantage. But in the ordinary case, this simply is not so. The pleadings and transcript of an uncounseled termination proceeding at most will show the obvious blunders and omissions of the defendant parent. Determining the difference legal representation would have made becomes possible only through imagination, investigation, and legal research focused on the particular case. Even if the reviewing court can embark on such an enterprise in each case, it might be hard pressed to discern the significance of failures to challenge the State’s evidence or to develop a satisfactory defense. Such failures, however, often cut to the essence of the fairness of the trial, and a court’s inability to compensate for them effectively eviscerates the presumption of innocence. Because a parent acting pro se is even more likely to be unaware of controlling legal standards and practices, and unskilled in garnering relevant facts, it is difficult, if not impossible, to conclude that the typical case has been adequately presented. Cf. Betts v. Brady, 316 U. S., at 476 (dissenting opinion).19
Assuming that this ad hoc review were adequate to ensure fairness, it is likely to be both cumbersome and costly. And because such review involves constitutional rights implicated by state adjudications, it necessarily will result in increased federal interference in state proceedings. The Court’s implication to the contrary, see ante, at 33, is belied by the Court’s experience in the aftermath of Betts v. Brady. The Court was confronted with innumerable postverdict challenges to the fairness of particular trials, and expended much *52energy in effect evaluating the performance of state judges.20 This level of intervention in the criminal processes of the States prompted Justice Frankfurter, speaking for himself and two others, to complain that the Court was performing as a “super-legal-aid bureau.” Uveges v. Pennsylvania, 335 U. S. 437, 450 (1948) (dissenting opinion). I fear that the decision today may transform the Court into a “super family court.”
B
The problem of inadequate representation is painfully apparent in the present case. Petitioner, Abby Gail Lassiter, is the mother of five children. The State moved to remove the fifth child, William, from petitioner’s care on the grounds of parental neglect. Although petitioner received notice of the removal proceeding, she did not appear at the hearing and was not represented. In May 1975, the State’s District Court adjudicated William to be neglected under North Carolina law and placed him in the custody of the Durham County Department of Social Services. At some point, petitioner evidently arranged for the other four children to reside with and be cared for by her mother, Mrs. Lucille Las-siter. They remain under their grandmother’s care at the present time.
As the Court notes, ante, at 22, petitioner did not visit William after July 1976. She was unable to do so, for she was imprisoned as a result of her conviction for second-degree murder. In December 1977, she was visited in prison by a Durham County social worker who advised her that the Department planned to terminate her parental rights with respect to William. Petitioner immediately expressed strong *53opposition to that plan and indicated a desire to place the child with his grandmother. Hearing Tr. 15. After receiving a summons, a copy of the State’s termination petition, and notice that a termination hearing would be held in August 1978, petitioner informed her prison guards about the legal proceeding. They took no steps to assist her in obtaining legal representation, id., at 4; App. I to Reply to Brief in Opposition 4, nor was she informed that she had a right to counsel.21 Under these circumstances, it scarcely would be appropriate, or fair, to find that petitioner had knowingly and intelligently waived a right to counsel.
At the termination hearing, the State’s sole witness was the county worker who had met petitioner on the one occasion at the prison. This worker had been assigned to William’s case in August 1977, yet much of her testimony concerned events prior to that date; she represented these events as contained in the agency record. Hearing Tr. 10-13. Petitioner failed to uncover this weakness in the worker’s testimony. That is hardly surprising, for there is no indication that an agency record was introduced into evidence or was present in court, or that petitioner or the grandmother ever had an opportunity to review any such record. The social worker also testified about her conversations with members of the community. In this hearsay testimony, the witness reported the opinion of others that the grandmother could not handle the additional responsibility of caring for the fifth child. Id., at 14-15. There is no indication that these community members were unavailable to testify, and the County Attorney did not justify the admission of the hearsay. Petitioner made no objection to its admission.
*54The court gave petitioner an opportunity to cross-examine the social worker, id., at 19, but she apparently did not understand that cross-examination required questioning rather than declarative statements. At this point, the judge became noticeably impatient with petitioner.22 Petitioner then *55took the stand, and testified that she wanted William to live with his grandmother and his siblings. The judge questioned her for a brief period, and expressed open disbelief at one of her answers.23 The final witness was the grandmother. Both the judge and the County Attorney questioned her. She denied having expressed unwillingness to take William into her home, and vehemently contradicted the social worker’s statement that she had complained to the Department about her daughter’s neglect of the child.24 Petitioner was not told that she could question her mother, and did not do so.25 The County Attorney made a closing argument, id., at 58-60, *56and the judge then asked petitioner if she had any final remarks. She responded: “Yes. I don’t think its right.” Id., at 61.
It is perhaps understandable that the District Court Judge experienced difficulty and exasperation in conducting this hearing. But both the difficulty and the exasperation are attributable in large measure, if not entirely, to the lack of counsel. An experienced attorney might have translated petitioner’s reaction and emotion into several substantive legal arguments. The State charged petitioner with failing to arrange a “constructive plan” for her child’s future or to demonstrate a “positive response” to the Department’s intervention. A defense would have been that petitioner had arranged for the child to be cared for properly by his grandmother, and evidence might have been adduced to demonstrate the adequacy of the grandmother’s care of the other children. See, e. g., In re Valdez, 29 Utah 2d 63, 504 P. 2d 1372 (1973); Welfare Commissioner v. Anonymous, 33 Conn. Supp. 100, 364 A. 2d 250 (1976); Diernfeld v. People, 137 Colo. 238, 323 P. 2d6 628 (1958). See generally Moore v. East Cleveland, 431 U. S., at 504 (plurality opinion); id., at 508-510 (opinion of Brennan, J.). The Department’s own “diligence” in promoting the family’s integrity was never put in issue during the hearing, yet it is surely significant in light of petitioner’s incarceration and lack of access to her child. See, e. g., Weaver v. Roanoke Dept. of Human Resources, 220 Va. 921, 929, 265 S. E. 2d 692, 697 (1980); In re Christopher H., 577 P. 2d 1292, 1294 (Okla. 1978); In re Kimberly I., 72 App. Div. 2d 831, 833, 421 N. Y. S. 2d 649, 651 (1979). Finally, the asserted willfulness of petitioner’s lack of concern could obviously have been attacked since she was physically unable to regain custody or perhaps even to receive meaningful visits during 21 of the 24 months preceding the action. Cf. In re Dinsmore, 36 N. C. App. 720, 245 S. E. 2d 386 (1978).
*57III
Petitioner plainly has not led the life of the exemplary citizen or model parent. It may well be that if she were accorded competent legal representation, the ultimate result in this particular case would be the same. But the issue before the Court is not petitioner’s character; it is whether she was given a meaningful opportunity to be heard when the State moved to terminate absolutely her parental rights.26 In light of the unpursued avenues of defense, and of the experience petitioner underwent at the hearing, I find virtually incredible the Court’s conclusion today that her termination proceeding was fundamentally fair. To reach that conclusion, the Court simply ignores the defendant’s obvious inability to speak effectively for herself, a factor the Court has found to be highly significant in past cases. See Gagnon v. Scarpelli, 411 U. S., at 791; Uveges v. Pennsylvania, 335 U. S., at 441-442; Bute v. Illinois, 333 U. S. 640, 677 (1948). See also Vitek v. Jones, 445 U. S., at 496-497 (plurality opinion); id., at 498 (opinion of Powell, J.). I am unable to ignore that factor; instead, I believe that the record, and the norms of *58fairness acknowledged by the majority, compel a holding according counsel to petitioner and persons similarly situated.
Finally, I deem it not a little ironic that the Court on this very day grants, on due process grounds, an indigent putative father’s claim for state-paid blood grouping tests in the interest of according him a meaningful opportunity to disprove his paternity, Little v. Streater, ante, p. 1, but in the present case rejects, on due process grounds, an indigent mother’s claim for state-paid legal assistance when the State seeks to take her own child away from her in a termination proceeding. In Little v. Streater, the Court stresses and relies upon the need for “procedural fairness,” the “compelling interest in the accuracy of [the] determination,” the “not inconsiderable” risk of error, the indigent’s “fae[ing] the State as an adversary,” and “fundamental fairness,” ante, at 13, 14, and 16.
There is some measure of inconsistency and. tension here, it seems to me. I can attribute the distinction the Court draws only to a presumed difference between what it views as the “civil” and the “quasi-criminal,” Little v. Streater, ante, at 10. Given the factual context of the two cases decided today, the significance of that presumed difference eludes me.
Ours, supposedly, is “a maturing society,” Trop v. Dulles, 356 U. S. 86, 101 (1958) (plurality opinion), and our notion of due process is, “perhaps, the least frozen concept of our law.” Griffin v. Illinois, 351 U. S. 12, 20 (1956) (opinion concurring in judgment). If the Court in Boddie v. Connecticut, 401 U. S. 371 (1971), was able to perceive as constitutionally necessary the access to judicial resources required to dissolve a marriage at the behest of private parties, surely it should perceive as similarly necessary the requested access to legal resources when the State itself seeks to dissolve the intimate and personal family bonds between parent and child. It will not open the “floodgates” that, I suspect, the Court *59fears. On the contrary, we cannot constitutionally afford the closure that the result in this sad case imposes upon us all.
I respectfully dissent.
dissenting.
A woman’s misconduct may cause the State to take formal steps to deprive her of her liberty. The State may incarcerate her for a fixed term and also may permanently deprive her of her freedom to associate with her child. The former is a pure deprivation of liberty; the latter is a deprivation of both liberty and property, because statutory rights of inheritance as well as the natural relationship may be destroyed. Although both deprivations are serious, often the deprivation of parental rights will be the more grievous of the two. The plain language of the Fourteenth Amendment commands that both deprivations must be accompanied by due process of law.*
Without so stating explicitly, the Court appears to treat this case as though it merely involved the deprivation of an interest in property that is less worthy of protection than a person’s liberty. The analysis employed in Mathews v. Eldridge, 424 U. S. 319, in which the Court balanced the costs and benefits of different procedural mechanisms for allocating a finite quantity of material resources among competing claimants, is an appropriate method of determining what process is due in property cases. Meeting the Court on its own terms, Justice Blackmun demonstrates that the Mathews v. Eldridge analysis requires the appointment of counsel in this type of case. I agree with his conclusion, but I would take one further step.
In my opinion the reasons supporting the conclusion that the Due Process Clause of the Fourteenth Amendment en*60titles the defendant in a criminal case to representation by counsel apply with equal force to a case of this kind. The issue is one of fundamental fairness, not of weighing the pecuniary costs against the societal benefits. Accordingly, even if the costs to the State were not relatively insignificant but rather were just as great as the costs of providing prosecutors, judges, and defense counsel to ensure the fairness of criminal proceedings, I would reach the same result in this category of cases. For the value of protecting our liberty from deprivation by the State without due process of law is priceless.
14.2 Notes following Lassiter 14.2 Notes following Lassiter
- Application of Mathews. Do you agree with the majority’s application of Mathews? Or, like the dissent, do you believe that if Mathews had been correctly applied, the court would have concluded that Lassiter and parents facing the termination of parental rights are entitled to the right to counsel? Here are some parts of the majority opinion on which to think more critically:
- “…the weight of the evidence that she had few sparks of such an interest was sufficiently great that the presence of counsel for Ms. Lassiter could not have made a determinative difference.” Do you sense any circular logic here? Couldn’t it be the case that there was no controverting evidence because she did not have counsel?
- “…that the grandmother had displayed scant interest in the child once he had been removed from her daughter's custody was, though controverted, sufficiently substantial that the absence of counsel's guidance on this point did not render the proceedings fundamentally unfair.” Is evidence “sufficiently substantial” if it is “controverted”? Moreover, is the court answering the right question? Is the question whether there was “substantial evidence” to support the trial court’s decision (an easy standard to meet), or whether the addition of a lawyer might have resulted in evidence sufficient to make a different trial court decision plausible or likely? Or is the right question something else altogether?
- “…a court deciding whether due process requires the appointment of counsel need not ignore a parent's plain demonstration that she is not interested in attending a hearing.” Again, is the Supreme Court asking the right question? What legal question was the trial court supposed to address? Does this question require the trial court to consider a parent’s interest, or lack thereof, at the beginning of its analysis, or was the trial court supposed to consider something else first?
- Case-by-case or category-by-category? The Court says that if “the parent’s interests were at their strongest, the State's interests were at their weakest, and the risks of error were at their peak,” the Mathews factors would likely point to the right to appointed counsel. “But since the [Mathews] factors will not always be so distributed,” the Court concludes that due process does not require counsel in “every parental termination proceeding” (emphasis added).
- Is the majority saying that unless the Mathews factors always point against the presumption of no-counsel in a certain context (i.e., parental termination hearings), the presumption cannot be overcome?
- The dissent argues that the majority endorses “a retrospective review of the trial record of each particular defendant parent,” which “undermines the very rationale…of general fairness.” How might case-by-case treatment undermine “general fairness”? Is there a value to predictable uniformity even as it relegates, or essentializes, cases to a certain category?
- Do you think the majority is saying that when we analyze Mathews’ second factor (erroneous deprivation), we should look at whether there would have been a difference in the outcome of this particular case, or whether we need to look at the category of cases?
- Determining erroneous deprivation. The dissent says that discerning whether legal representation would have made a difference requires “imagination, investigation, and legal research focused on the particular case,” and is particularly difficult with a pro se parent who will likely be unskilled in legal argumentation and practices.
- Do you agree with the dissent that there is a methodological difficulty in proving the effect of an absence (of a lawyer)?
- The majority holds that Ms. Lassiter, the mother, was able to present a defense that rendered the trial fundamentally fair. In addition, they suggest that the trial judge was sufficiently unbiased and objective so as to render the trial, again, fundamentally fair. What, if anything, do the transcript excerpts in the dissent say about these two questions?
- Rights deriving from state statutes vs. SCOTUS case law. The majority ends its opinion by pointing out that 33 states and D.C. provide counsel through their own statutes.
- What are the reasons why statutorily provided rights may be preferable to those granted or protected by SCOTUS? Conversely, what might be the benefit of SCOTUS setting forth a federal right?
- The Court says that its opinion is not trying to cut against “the standards increasingly urged by informed public opinion and now widely followed by the States.” Is this convincing? What about the possibility of a “ripple effect”: that after a SCOTUS ruling, challenges to state law are brought?
14.3 Vitek v. Jones 14.3 Vitek v. Jones
The following case concerns the extent of due process requirements when a government attempts to move an individual in an ordinary prison system to a mental health facility where it might subject them to involuntary treatment.
Note: part of this case concerns whether the individual has a liberty interest that triggers the due process clause. We will not study that question in this class. Look for it in a course on constitutional law.
VITEK, CORRECTIONAL DIRECTOR, et al. v. JONES
No. 78-1155.
Argued December 3, 1979
Decided March 25, 1980
*482White, J., announced the Court’s judgment and delivered the opinion of the Court with respect to Parts I, II, III, IV-A, and V, in which Brennan, Marshall, Powell, and Stevens, JJ., joined, and an opinion with respect to Part IV-B , in which Brennan, Marshall, and Stevens, JJ., joined. Powell, J., filed an opinion concurring in part, post, p. 497. Stewart, J., filed a dissenting opinion, in which Burger, C. J., and Rehnquist, J., joined, post, p. 500. Blackmun, J., filed a dissenting opinion, post, p. 501.
Melvin Kent Kammerlohr, Assistant Attorney General of Nebraska, argued the cause for appellants. With him on the brief was Paul L. Douglas, Attorney General.
Thomas A. Wurtz, by appointment of the Court, 441 U. S. 960, argued the cause and filed a brief for appellee.
delivered the opinion of the Court, except as to Part IV-B.
The question in this case is whether the Due Process Clause of the Fourteenth Amendment entitles a prisoner convicted and incarcerated in the State of Nebraska to certain proce*483dural protections, including notice, an adversary hearing, and provision of counsel, before he is transferred involuntarily to a state mental hospital for treatment of a mental disease or defect.
I
Nebraska Rev. Stat. § 83-176 (2) (1976) authorizes the Director of Correctional Services to designate any available, suitable, and appropriate residence facility or institution as a place of confinement for any state prisoner and to transfer a prisoner from one place of confinement to another. Section 83-180 (1), however, provides that when a designated physician or psychologist finds that a prisoner “suffers from a mental disease or defect” and “cannot be given proper treatment in that facility,” the director may transfer him for examination, study, and treatment to another institution within or without the Department of Correctional Services.1 Any prisoner so transferred to a mental hospital is to be returned to the Department if, prior to the expiration of his sentence, treatment is no longer necessary. Upon expiration of sen*484tence, if the State desires to retain the prisoner in a mental hospital, civil commitment proceedings must be promptly commenced. § 83-180 (3).2
On May 31, 1974, Jones was convicted of robbery and sentenced to a term of three to nine years in state prison. He was transferred to the penitentiary hospital in January 1975. Two days later he was placed in solitary confinement, where he set his mattress on fire, burning himself severely. He was treated in the burn unit of a private hospital. Upon his release and based on findings required by § 83-180 that he was suffering from a mental illness or defect and could not receive proper treatment in the penal complex, he was transferred to the security unit of the Lincoln Regional Center, a state mental hospital under the jurisdiction of the Department of Public Institutions.
Jones then intervened in this case, which was brought by other prisoners against the appropriate state officials (the State) challenging on procedural due process grounds the adequacy of the procedures by which the Nebraska statutes permit transfers from the prison complex to a mental hospital.3 On August 17, 1976, a three-judge District Court, convened *485pursuant to 28 U. S. C. § 2281 (1970 ed.).4 denied the State’s motion for summary judgment and trial ensued. On September 12, 1977, the District Court declared § 83-180 unconstitutional as applied to Jones, holding that transferring Jones to a mental hospital without adequate notice and opportunity for a hearing deprived him of liberty without due process of law contrary to the Fourteenth Amendment and that such transfers must be accompanied by adequate notice, an adversary hearing before an independent decisionmaker, a written statement by the factfinder of the evidence relied on and the reasons for the decision, and the availability of appointed counsel for indigent prisoners. Miller v. Vitek, 437 F. Supp. 569 (Neb. 1977). Counsel was requested to suggest appropriate relief.
In response to this request, Jones revealed that on May 27, 1977, prior to the District Court’s decision, he had been transferred from Lincoln Regional Center to the psychiatric ward of the penal complex but prayed for an injunction against further transfer to Lincoln Regional Center. The State conceded that an injunction should enter if the District Court was firm in its belief that the section was unconstitutional. The District Court then entered its judgment declaring § 83-180 unconstitutional as applied to Jones and permanently enjoining the State from transferring Jones to Lincoln Regional Center without following the procedures prescribed in its judgment.
We noted probable jurisdiction 434 U. S. 1060 (1978). Meanwhile, Jones had been paroled, but only on condition that he accept psychiatric treatment at a Veterans’ Administration Hospital. We vacated the judgment of the District Court and remanded the case to that court for consideration *486of the question of mootness. Vitek v. Jones, 436 U. S. 407 (1978). Both the State and Jones at this juncture insisted that the case was not moot. The State represented that because “Jones’ history of mental illness indicates a serious threat to his own safety, as well as to that of others . . . there is a very real expectation” that he would again be transferred if the injunction was removed. App. to Juris Statement 24. Jones insisted that he was receiving treatment for mental illness against his will and that he was continuing to suffer from the stigmatizing consequences of the previous determination that he was mentally ill. On these representations, the District Court found that the case was not moot because Jones “is subject to and is in fact under threat of being transferred to the state mental hospital under § 83-180.” Ibid. The District Court reinstated its original judgment. We postponed consideration of jurisdiction to a hearing on the merits. 441 U. S. 922 (1979). Meanwhile, Jones had violated his parole, his parole had been revoked, and he had been reincarcerated in the penal complex.
II
We agree with the parties in this case that a live controversy exists and that the case is not moot. Jones was declared to be mentally ill pursuant to § 83-180 and was transferred to a mental hospital and treated. He was later paroled but only on condition that he accept mental treatment. He violated that parole and has been returned to the penal complex. On our remand to consider mootness, the District Court, relying on Jones’ history of mental illness and the State’s representation that he represented a serious threat to his own safety as well as to that of others, found that Jones “is in fact under threat of being transferred to the state mental hospital under § 83-180.” We see no reason to disagree with the District Court’s assessment at that time, and the reality of the controversy between Jones and the State has not been lessened by the cancellation of his parole and his return to the state prison, *487where he is protected from further transfer by the outstanding judgment and injunction of the District Court. The State, believing that the case is not moot, wants the injunction removed by the reversal of the District Court’s judgment. Jones, on the other hand, insists that the judgment of the District Court be sustained and the protection against transfer to a mental hospital, except in accordance with the specified procedures, be retained.
Against this background, it is not “absolutely clear,” absent the injunction, “that the allegedly wrongful behavior could not reasonably be expected to recur.” United States v. Phosphate Export Assn., 393 U. S. 199, 203 (1968); County of Los Angeles v. Davis, 440 U. S. 625, 631 (1979); United States v. W. T. Grant Co., 345 U. S. 629, 633 (1953).5 Furthermore, as the matter now stands, the § 83-180 determination that Jones suffered from mental illness has been declared infirm by the District Court. Vacating the District Court’s judgment as moot would not only vacate the injunction against transfer but also the declaration that the procedures employed by the State afforded an inadequate basis for declaring Jones to be mentally ill. In the posture of the case, it is not moot.
Ill
On the merits, the threshold question in this case is whether the involuntary transfer of a Nebraska state prisoner to a mental hospital implicates a liberty interest that is protected by the Due Process Clause. The District Court held that it did and offered two related reasons for its conclusion. The District Court first identified a liberty interest rooted in *488§ 83-180 (1), under which a prisoner could reasonably expect that he would not be transferred to a mental hospital without a finding that he was suffering from a mental illness for which he could not secure adequate treatment in the correctional facility. Second, the District Court was convinced that characterizing Jones as a mentally ill patient and transferring him to the Lincoln ^Regional Center had “some stigmatizing” consequences which, together with the mandatory behavior modification treatment to which Jones would be subject at the Lincoln Center, constituted a major change in the conditions of confinement amounting to a “grievous loss” that should not be imposed without the opportunity for notice and an adequate hearing. We agree with the District Court in both respects.
A
We have repeatedly held that state statutes may create liberty interests that are entitled to the procedural protections of the Due Process Clause of the Fourteenth Amendment. There is no “constitutional or inherent right” to parole, Greenholtz v. Nebraska Penal Inmates, 442 U. S. 1, 7 (1979), but once a State grants a prisoner the conditional liberty properly dependent on the observance of special parole restrictions, due process protections attach to the decision to revoke parole. Morrissey v. Brewer, 408 U. S. 471 (1972). The same is true of the revocation of probation. Gagnon v. Scarpelli, 411 U. S. 778 (1973). In Wolff v. McDonnell, 418 U. S. 539 (1974), we held that a state-created right to good-time credits, which could be forfeited only for serious misbehavior, constituted a liberty interest protected by the Due Process Clause. We also noted that the same reasoning could justify extension of due process protections to a decision to impose “solitary” confinement because “[it] represents a major change in the conditions of confinement and is normally imposed only when it is claimed and proved that there has been a major act of misconduct.” Id., at 571-572, n. 19. Once a State has *489granted prisoners a liberty interest, we held that due process protections are necessary “to insure that the state-created right is not arbitrarily abrogated.” Id., at 557.
In Meachum v. Fano, 427 U. S. 215 (1976), and Montanye v. Haymes, 427 U. S. 236 (1976), we held that the transfer of a prisoner from one prison to another does not infringe a protected liberty interest. But in those cases transfers were discretionary with the prison authorities, and in neither case did the prisoner possess any right or justifiable expectation that he would not be transferred except for misbehavior or upon the occurrence of other specified events. Hence, “the predicate for invoking the protection of the Fourteenth Amendment as construed and applied in Wolff v. McDonnell [was] totally nonexistent.” Meachum v. Fano, supra, at 226-227.
Following Meachum v. Fano and Montanye v. Haymes, we continued to recognize that state statutes may grant prisoners liberty interests that invoke due process protections when prisoners are transferred to solitary confinement for disciplinary or administrative reasons. Enomoto v. Wright, 434 U. S. 1052 (1978), summarily aff'g 462 F. Supp. 397 (ND Cal. 1976). Similarly, in Greenholtz v. Nebraska Penal Inmates, supra, we held that state law granted petitioners a sufficient expectancy of parole to entitle them to some measure of constitutional protection with respect to parole decisions.
We think the District Court properly understood and applied these decisions. Section 83-180 (1) provides that if a designated physician finds that a prisoner “suffers from a mental disease or defect” that “cannot be given proper treatment” in prison, the Director of Correctional Services may transfer a prisoner to a mental hospital. The District Court also found that in practice prisoners are transferred to a mental hospital only if it is determined that they suffer from a mental disease or defect that cannot adequately be treated within the penal complex. This “objective expectation, firmly fixed in state law and official Penal Complex practice,” that *490a prisoner would not be transferred unless he suffered from a mental disease or defect that could not be adequately treated in the prison, gave Jones a liberty interest that entitled him to the benefits of appropriate procedures in connection with determining the conditions that warranted his transfer to a mental hospital. Under our cases, this conclusion of the District Court is unexceptionable.
Appellants maintain that any state-created liberty interest that Jones had was completely satisfied once a physician or psychologist designated by the director made the findings required by §83-180(1) and that Jones was not entitled to any procedural protections.6 But if the State grants a pris*491oner a right or expectation that adverse action will not be taken against him except upon the- occurrence of specified behavior, “the determination of whether such behavior has occurred becomes critical, and the minimum requirements of procedural due process appropriate for the circumstances must be observed.” Wolff v. McDonnell, 418 U. S., at 558. These minimum requirements being a matter of federal law, they are not diminished by the fact that the State may have specified its own procedures that it may deem adequate for determining the preconditions to adverse official action. In Morrissey, Gagnon, and Wolff, the States had adopted their own procedures for determining whether conditions warranting revocation of parole, probation, or good-time credits had occurred; yet we held that those procedures were constitutionally inadequate. In like manner, Nebraska’s reliance on the opinion of a designated physician or psychologist for determining whether the conditions warranting a transfer exist neither removes the prisoner’s interest from due process protection nor answers the question of what process is due under the Constitution.
*490“The plurality opinion evidently reasons that the nature of appellee’s interest in continued federal employment is necessarily defined and limited by the statutory procedures for discharge and that the constitutional guarantee of procedural due process accords to appellee no procedural protections against arbitrary or erroneous discharge other than those expressly provided in the statute. The plurality would thus conclude that the statute governing federal employment determines not only the nature of appellee’s property interest, but also the extent of the procedural protections to which he may lay claim. It seems to me that this approach is incompatible with the principles laid down in [Board of Regents v.] Roth[, 408 U. S. 564 (1972)] and [Perry v.] Sindermann[, 408 U. S. 593 (1972)]. Indeed, it would lead directly to the conclusion that whatever the nature of an individual’s statutorily created property interest, deprivation of that interest could be accomplished without notice or a hearing at any time. This view misconceives the origin of the right to procedural due process. That right is conferred, not by legislative grace, but by constitutional guarantee. While the legislature may elect not to confer a property interest in federal employment, it may not constitutionally authorize the deprivation of such an interest, once conferred, without appropriate procedural safeguards. As our cases have consistently recognized, the adequacy of statutory procedures for deprivation of a statu-
*491B
The District Court was also correct in holding that independently of § 83-180 (1), the transfer of a prisoner from a prison to a mental hospital must be accompanied by appropriate procedural protections. The issue is whether after a conviction for robbery, Jones retained a residuum of liberty that would be infringed by a transfer to a mental hospital without complying with minimum requirements of due process.
We have recognized that for the ordinary citizen, commitment to a mental hospital produces “a massive curtailment of liberty,” Humphrey v. Cady, 405 U. S. 504, 509 (1972), and in *492consequence “requires due process protection.” Addington v. Texas, 441 U. S. 418, 425 (1979); O’Connor v. Donaldson, 422 U. S. 563, 580 (1975) (Burger, C. J., concurring). The loss of liberty produced by an involuntary commitment is more than a loss of freedom from confinement. It is indisputable that commitment to a mental hospital “can engender adverse social consequences to the individual” and that “[w]hether we label this phenomena 'stigma’ or choose to call it something else ... we recognize that it can occur and that it can have a very significant impact on the individual.” Addington v. Texas, supra, at 425-426. See also Parham v. J. R., 442 U. S. 584, 600 (1979). Also, “[a]mong the historic liberties” protected by the Due Process Clause is the “right to be free from, and to obtain judicial relief for, unjustified intrusions on personal security.” Ingraham v. Wright, 430 U. S. 651, 673 (1977). Compelled treatment in the form of mandatory behavior modification programs, to which the District Court found Jones was exposed in this case, was a proper factor to be weighed by the District Court. Cf. Addington v. Texas, supra, at 427.
*491torily created property interest must be analyzed in constitutional terms. Goldberg v. Kelly, 397 U. S. 254 (1970); Bell v. Burson, 402 U. S. 535 (1971); Board of Regents v. Roth, supra; Perry v. Sindermann, supra.” Id., at 166-167.
*492The District Court, in its findings, was sensitive to these concerns:
“[T]he fact of greater limitations on freedom of action at the Lincoln Regional Center, the fact that a transfer to the Lincoln Regional Center has some stigmatizing consequences, and the fact that additional mandatory behavior modification systems are used at the Lincoln Regional Center combine to make the transfer a 'major change in the conditions of confinement’ amounting to a 'grievous loss’ to the inmate.” Miller v. Vitek, 437 F. Supp., at 573.
Were an ordinary citizen to be subjected involuntarily to these consequences, it is undeniable that protected liberty interests would be unconstitutionally infringed absent compliance with the procedures required by the Due Process Clause. *493We conclude that a convicted felon also is entitled to the benefit of procedures appropriate in the circumstances before he is found to have a mental disease and transferred to a mental hospital.
Undoubtedly, a valid criminal conviction and prison sentence extinguish a defendant’s right to freedom from confinement. Greenholtz v. Nebraska Penal Inmates, 442 U. S., at 7. Such a conviction and sentence sufficiently extinguish a defendant’s liberty “to empower the State to confine him in any of its prisons.” Meachum v. Fano, 427 U. S., at 224 (emphasis deleted). It is also true that changes in the conditions of confinement having a substantial adverse impact on the prisoner are not alone sufficient to invoke the protections of the Due Process Clause “[a]s long as the conditions or degree of confinement to which the prisoner is subjected is within the sentence imposed upon him.” Montanye v. Haymes, 427 U. S., at 242.
Appellants maintain that the transfer of a prisoner to a mental hospital is within the range of confinement justified by imposition of a prison sentence, at least after certification by a qualified person that a prisoner suffers from a mental disease or defect. We cannot agree. None of our decisions holds that conviction for a crime entitles a State not only to confine the convicted person but also to determine that he has a mental illness and to subject him involuntarily to institutional care in a mental hospital. Such consequences visited on the prisoner are qualitatively different from the punishment characteristically suffered by a person convicted of crime. Our cases recognize as much and reflect an understanding that involuntary commitment to a mental hospital is not within the range of conditions of confinement to which a prison sentence subjects an individual. Baxstrom v. Herold, 383 U. S. 107 (1966); Specht v. Patterson, 386 U. S. 605 (1967); Humphrey v. Cady, 405 U. S. 504 (1972); Jackson v. Indiana, 406 U. S. 715, 724-725 (1972). A criminal conviction and sentence of imprisonment extinguish an individ*494ual’s right to freedom from confinement for the term of his sentence, but they do not authorize the State to classify him as mentally ill and to subject him to involuntary psychiatric treatment without affording him additional due process protections.
In light of the findings made by the District Court, Jones’ involuntary transfer to the Lincoln Regional Center pursuant to § 83-180, for the purpose of psychiatric treatment, implicated a liberty interest protected by the Due Process Clause. Many of the restrictions on the prisoner’s freedom of action at the Lincoln Regional Center by themselves might not constitute the deprivation of a liberty interest retained by a prisoner, see Wolff v. McDonnell, 418 U. S., at 572, n. 19; cf. Baxter v. Palmigiano, 425 U. S. 308, 323 (1976). But here, the stigmatizing consequences of a transfer to a mental hospital for involuntary psychiatric treatment, coupled with the subjection of the prisoner to mandatory behavior modification as a treatment for mental illness, constitute the kind of deprivations of liberty that requires procedural protections.
IV
The District Court held that to afford sufficient protection to the liberty interest it had identified, the State was required to observe the following minimum procedures before transferring a prisoner to a mental hospital:
“A. Written notice to the prisoner that a transfer to a mental hospital is being considered;
“B. A hearing, sufficiently after the notice to permit the prisoner to prepare, at which disclosure to the prisoner is made of the evidence being relied upon for the transfer and at which an opportunity to be heard in person and to present documentary evidence is given;
“C. An opportunity at the hearing to present testimony of witnesses by the defense and to confront and cross-examine witnesses called by the state, except *495upon a finding, not arbitrarily made, of good cause for not permitting such presentation, confrontation, or cross-examination;
“D. An independent decisionmaker;
“E. A written statement by the factfinder as to the evidence relied on and the reasons for transferring the inmate;
“F. Availability of legal counsel, furnished by the state, if the inmate is financially unable to furnish his own; and
“G. Effective and timely notice of all the foregoing rights.” 437 F. Supp., at 575.
A
We think the District Court properly identified and weighed the relevant factors in arriving at its judgment. Concededly the interest of the State in segregating and treating mentally ill patients is strong. The interest of the prisoner in not being arbitrarily classified as mentally ill and subjected to unwelcome treatment is also powerful, however; and as the District Court found, the risk of error in making the determinations required by § 83-180 is substantial enough to warrant appropriate procedural safeguards against error.
We recognize that the inquiry involved in determining whether or not to transfer an inmate to a mental hospital for treatment involves a question that is essentially medical. The question whether an individual is mentally ill and cannot be treated in prison “turns on the meaning of the facts which must be interpreted by expert psychiatrists and psychologists.” Addington v. Texas, 441 U. S., at 429. The medical nature of the inquiry, however, does not justify dispensing with due process requirements. It is precisely “[t]he subtleties and nuances of psychiatric diagnoses” that justify the requirement of adversary hearings. Id., at 430.
Because prisoners facing involuntary transfer to a mental hospital are threatened with immediate deprivation of liberty *496interests they are currently enjoying and because of the inherent risk of a mistaken transfer, the District Court properly determined that procedures similar to those required by the Court in Morrissey v. Brewer, 408 U. S. 471 (1972), were appropriate in the circumstances present here.
The notice requirement imposed by the District Court no more than recognizes that notice is essential to afford the prisoner an opportunity to challenge the contemplated action and to understand the nature of what is happening to him. Wolff v. McDonnell, supra, at 564. Furthermore, in view of the nature of the determinations that must accompany the transfer to a mental hospital, we think each of the elements of the hearing specified by the District Court was appropriate. The interests of the State in avoiding disruption was recognized by limiting in appropriate circumstances the prisoner’s right to call witnesses, to confront and cross examine. The District Court also avoided unnecessary intrusion into either medical or correctional judgments by providing that the independent decisionmaker conducting the transfer hearing need not come from outside the prison or hospital administration. 437 F. Supp., at 574.
B*
The District Court did go beyond the requirements imposed by prior cases by holding that counsel must be made available to inmates facing transfer hearings if they are financially unable to furnish their own. We have not required the automatic appointment of counsel for indigent prisoners facing other deprivations of liberty, Gagnon v. Scarpelli, 411 U. S., at 790; Wolff v. McDonnell, supra, at 569-570; but we have recognized that prisoners who are illiterate and uneducated have a greater need for assistance in exercising their rights. Gagnon v. Scarpelli, supra, at 786-787; Wolff v. McDonnell, supra, at 570. A prisoner thought to be suffering from a *497mental disease or defect requiring involuntary treatment probably has an even greater need for legal assistance, for such a prisoner is more likely to be unable to understand or exercise his rights. In these circumstances, it is appropriate that counsel be provided to indigent prisoners whom the State seeks to treat as mentally ill.
V
Because Mr. Justice Powell, while believing that Jones was entitled to competent help at the hearing, would not require the State to furnish a licensed attorney to aid him, the judgment below is affirmed as modified to conform with the separate opinion filed by Mr. Justice Powell.
So ordered.
concurring in part.
I join the opinion of the Court except for Part IV-B. I agree with Part IV-B insofar as the Court holds that qualified and independent assistance must be provided to an inmate who is threatened with involuntary transfer to a state mental hospital. I do not agree, however, that the requirement of independent assistance demands that a licensed attorney be provided.1
*498I
In Gagnon v. Scarpelli, 411 U. S. 778 (1973), my opinion for the Court held that counsel is not necessarily required at a probation revocation hearing. In reaching this decision the Court recognized both the effects of providing counsel to each probationer and the likely benefits to be derived from the assistance of counsel. “The introduction of counsel into a revocation proceeding [would] alter significantly the nature of the proceeding,” id., at 787, because the hearing would inevitably become more adversary. We noted that probationers would not always need counsel because in most hearings the essential facts are undisputed. In lieu of a per se rule we held that the necessity of providing counsel should be determined on a case-by-case basis. In particular, we stressed that factors governing the decision to provide counsel include (i) the existence of factual disputes or issues which are “complex or otherwise difficult to develop or present,” and (ii) “whether the probationer appears to be capable of speaking effectively for himself.” Id., at 790, 791.
Consideration of these factors, and particularly the capability of the inmate, persuades me that the Court is correct that independent assistance must be provided to an inmate before he may be transferred involuntarily to a mental hospital. The essence of the issue in an involuntary commitment proceeding will be the mental health of the inmate. The resolution of factual disputes will be less important than the ability to understand and analyze expert psychiatric testimony that is often expressed in language relatively incomprehensible to laymen. It is unlikely that an inmate threatened with involuntary transfer to mental hospitals will possess the competence or training to protect adequately his own interest in these state-initiated proceedings. And the circumstances of being imprisoned without normal access to others who may assist him places an additional handicap upon an inmate’s ability to represent himself. I therefore agree *499that due process requires the provision of assistance to an inmate threatened with involuntary transfer to a mental hospital.
II
I do not believe, however, that an inmate must always be supplied with a licensed attorney. “[D]ue Process is flexible and calls for such procedural protections as the particular situation demands.” Morrissey v. Brewer, 408 U. S. 471, 481 (1972). See Mathews v. Eldridge, 424 U. S. 319, 334-335 (1976). Our decisions defining the necessary qualifications for an impartial decisionmaker demonstrate that the requirements of due process turn on the nature of the determination which must be made. “Due Process has never been thought to require that the neutral and detached trier of fact be law trained or a judicial or administrative officer.” Parham v. J. R., 442 U. S. 584, 607 (1979). In that case, we held that due process is satisfied when a staff physician determines whether a child may be voluntarily committed to a state mental institution by his parents. That holding was based upon recognition that the issues of civil commitment “are essentially medical in nature,” and that “ ‘neither judges nor administrative hearing officers are better qualified than psychiatrists to render psychiatric judgments.’ ” Id., at 607, 609, quoting In re Roger S., 19 Cal. 3d 921, 942, 569 P. 2d 1286, 1299 (1977) (Clark, J., dissenting). See also Morrissey v. Brewer, supra, at 489; Goldberg v. Kelly, 397 U. S. 254, 271 (1970).
In my view, the principle that due process does not always require a law-trained decisionmaker supports the ancillary conclusion that due process may be satisfied by the provision of a qualified and independent adviser who is not a lawyer. As in Parham v. J. R., the issue here is essentially medical. Under state law, a prisoner may be transferred only if he “suffers from a mental disease or defect” and “cannot be given proper treatment” in the prison complex. Neb. Rev. *500Stat. § 83-180 (1) (1976), The opinion of the Court allows a nonlawyer to act as the impartial decisionmaker in the transfer proceeding. Ante, at 496.2
The essence of procedural due process is a fair hearing. I do not think that the fairness of an informal hearing designed to determine a medical issue requires participation by lawyers. Due process merely requires that, the State provide an inmate with qualified and independent assistance. Such assistance may be provided by a licensed psychiatrist or other, mental health professional. Indeed, in view of the nature of the issue involved in the transfer hearing, a person possessing such professional qualifications normally would be preferred. As the Court notes, “[t]he question whether an individual is mentally ill and cannot be treated in prison ‘turns on the meaning of the facts which must be interpreted by expert psychiatrists and psychologists.’ ” Ante, at 495, quoting Addington v. Texas, 441 U. S. 418, 429 (1979). I would not exclude, however, the possibility that the required assistance may be rendered by competent laymen in some cases. The essential requirements are that the person provided by the State be competent and independent; and that he be free to act solely in the inmate’s best interest.
In sum, although the State is free to appoint a licensed attorney to represent an inmate, it is not constitutionally required to do so. Due process will be satisfied so long as an inmate facing involuntary transfer to a mental hospital is provided qualified and independent assistance.
with whom The Chief Justice and Mr. Justice Rehnquist join, dissenting.
It seems clear to me that this case is now moot. Accordingly, I would vacate the judgment and remand the case to *501the District Court with directions to dismiss the complaint. United States v. Munsingwear, Inc., 340 U. S. 36.
As the Court points out, this is not a class action, and the appellee is now incarcerated in the Nebraska Penal and Correctional Complex with an anticipated release date in March 1982. See ante, at 485-487, and n. 3. In that status, the appellee is simply one of thousands of Nebraska prisoners, with no more standing than any other to attack the constitutionality of Neb. Rev. Stat. § 83-180 (1) (1976) on the sole basis of the mere possibility that someday that statute might be invoked to transfer him to another institution.
Although the appellee was once transferred in accord with § 83-180 (1), there is no demonstrated probability that that will ever happen again. Weinstein v. Bradford, 423 U. S. 147. And this case is not one that by its nature falls within the ambit of the “capable of repetition, yet evading review” exception to established principles of mootness. See Southern Pacific Terminal Co. v. ICC, 219 U. S. 498; Super Tire Engineering Co. v. McCorkle, 416 U. S. 115. If the appellee should again be threatened with transfer under the allegedly infirm statute, there will be ample time to reach the merits of his claim.
“ ‘To adjudicate a cause which no longer exists is a proceeding which this Court uniformly has declined to entertain.’ Brownlow v. Schwartz, 261 U. S. 216, 217-218.” Oil Workers v. Missouri, 316 U. S. 363, 371.
dissenting.
I agree with Mr. Justice Stewart that this case is not properly before us. I write separately to express my own reasons for reaching that conclusion.
The claimed harm that gave birth to this lawsuit was the alleged deprivation of liberty attending appellee’s transfer to the Lincoln Regional Center. It is clear to me that that asserted injury disappeared, at the latest, when appellee was *502granted parole.1 Cf. Preiser v. Newkirk, 422 U. S. 395 (1975). So did any immediate threat that that injury would be suffered again. Appellee has been returned to custody, however, and the *503parties agree that his reincarceration, coupled with his history of mental problems, has brought the controversy back to life.
Given these facts, the issue is not so much , one of mootness as one of ripeness. At most, although I think otherwise, it is a case presenting a “mixed question” of ripeness and mootness, hinging on the possibility that the challenged procedures will be applied again to appellee. This Court has confronted mixed questions of this kind in cases presenting issues “capable of repetition, yet evading review,” see, e. g., Nebraska Press Assn. v. Stuart, 427 U. S. 539 (1976), and Sosna v. Iowa, 419 U. S. 393 (1975), and in cases concerning the cessation of challenged conduct during the pendency of litigation, see, e. g., Walling v. Helmerich & Payne, Inc., 323 U. S. 37, 43 (1944). In those contexts, the Court has lowered the ripeness threshold so as to preclude manipulation by the parties or the mere passage of time from frustrating judicial review. Mr. Justice Stewart correctly observes, and the Court apparently concedes, however, that the “capable of repetition” doctrine does not apply here. Neither does the liberal rule applied in “voluntary cessation” cases, since the current state of affairs is in no way the product of the appellants’ voluntary discontinuation of their challenged conduct.2 Certainly it is not the result of any effort on the part of the appellants to avoid review by this Court. Thus, since these mixed mootness/ ripeness rules are inapplicable, this case presents for me nothing more than a plain, old-fashioned question of ripeness.3
*504The Court’s cases lay down no mechanistic test for determining whether a dispute is ripe for adjudication. But past formulations are uniformly more rigorous than the one the Court now applies. The Court has observed that “[p]ast exposure to illegal conduct does not in itself show a present case or controversy,” O’Shea v. Littleton, 414 U. S. 488, 495 (1974), and that “general assertions or inferences” that illegal conduct will recur do not render a case ripe. Id., at 497. “A hypothetical threat is not enough.” Public Workers v. Mitchell, 330 U. S. 75, 90 (1947). There must be “actual present or. immediately threatened injury resulting from unlawful governmental action.” Laird v. Tatum, 408 U. S. 1, 15 (1972). See Linda R. S. v. Richard D., 410 U. S. 614, 617 (1973) (requiring “some threatened or actual injury”); Massachusetts v. Mellon, 262 U. S. 447, 488 (1923) (requiring that the litigant “has sustained or is immediately in danger of sustaining some direct injury”). A “substantial controversy, between parties having adverse legal interests, of sufficient immediacy and reality” is required. Golden v. Zwickler, 394 U. S. 103, 108 (1969), quoting Maryland Casualty Co. v. Pacific Coal & Oil Co., 312 U. S. 270, 273 (1941).
*505Applying these principles, I have difficulty in perceiving an existing “case or controversy” here. Since our remand, the state officials have indicated nothing more than that they have a general right to apply their statute, and to apply it to appellee if necessary.4 They have not expressed a present intent or desire to transfer appellee to a mental facility pursuant to the challenged provisions. Nor have they suggested that they may transfer appellee to the Lincoln Regional Center now on the basis of the diagnosis made five years ago. And they have not suggested that they would subject appellee immediately to a “fresh” psychiatric evaluation if the District Court’s injunction were lifted. The appellee has represented that he “does not reside in the psychiatric unit of the Nebraska Penal and Correctional Complex, nor is he receiving or accepting psychiatric treatment.” Brief for Appellee 11-12. The brief containing that statement was filed some six months ago and some nine months after the revocation of appellee’s parole.
In sum, for all that appears, appellee has been assimilated once again into the general prison population, and appellants, at least at this time, are content to leave him where he is.5 Given these facts, determining whether prison officials within two years again will seek to send appellee to a mental institu*506tion “takes us into the area of speculation and conjecture.” O’Shea v. Littleton, 414 U. S., at 497. Cf. Longshoremen v. Boyd, 347 U. S. 222 (1954).
It is for these reasons that I would vacate the judgment of the District Court and remand the case to that court with directions to dismiss the complaint.
14.4 Notes following Vitek 14.4 Notes following Vitek
- Minimum procedures. The district court in this case listed certain procedural factors as the “minimum” baseline for what is required under due process when transferring a prisoner to a mental hospital. Think of the cases you have read so far on procedural due process. Which factors do you think are appropriate? Which are missing? Now consider the various procedural devices we have discussed thus far in our class. Which are missing from the Vitek list?
- Powell’s concurrence. What do you think about Powell’s proposition that someone other than a licensed attorney might sometimes be a better representative in a due process hearing? When might the adversary system itself be less useful?
14.5 Videos on Matthews, Vitek, Bonds, and Counterbonds 14.5 Videos on Matthews, Vitek, Bonds, and Counterbonds
As a reminder, the following folder includes two optional study aids to understanding the Matthews "test," the Vitek factors, bonds, and counterbonds: (1) a written document on bonds and counterbonds from former TA Irene Loewenson, and (2) a series of videos from former TA Thomas Neilson on all of these topics. I recommend them if you have any questions on these issues. https://drive.google.com/drive/folders/1MA1MgwdJ7H88yg7SC3gJ4uBrl2EZzz02?usp=drive_link .
14.6 Rules 14.6 Rules
Read the following Federal Rules of Civil Procedure. You can access them via the internet or the supplemental handout provided on Canvas. It will be helpful to read them in the order in which they are listed below; this order tracks the progress of a garden variety civil case.
- Fed. R. Civ. P. 26(f) (meet and confer)
- Fed. R. Civ. P. 16(b-d) (initial scheduling conference)
- Fed. R. Civ. P. 26(a)(1)(A) (initial disclosures)
- Fed. R. Civ. P. 26(b)(1-2) (scope and limits on frequency/extent of discovery)
- Fed. R. Civ. P. 26(c) (protective orders)
- Fed. R. Civ. P. 34 (requests for production)
- Fed. R. Civ. P. 33 (interrogatories)
- Fed. R. Civ. P. 30(a), 30(b)(6), 30(c-d) (depositions)
- Fed. R. Civ. P. 29 (party alterations to discovery limits)
- Fed. R. Civ. P. 36 (requests for admission)
- Fed. R. Civ. P. 37(a) (motions to compel)
- Fed. R. Civ. P. 26(e) (duty to Supplement or Internet and correct)
- Fed. R. Civ. P. 26(a)(3) (pretrial disclosures)
- (optional) Fed. R. Civ. P. 26(b)(3-4) (experts)
- Fed. R. Civ. P. 16(e) (final pretrial order)
14.7 Pretrial Devices for Obtaining Information 14.7 Pretrial Devices for Obtaining Information
Please read the handout found here (pdf).
14.8 PAYNE V. S. S. NABOB United States Court of Appeals, Third Circuit, 1962. 302 F.2d 803. 14.8 PAYNE V. S. S. NABOB United States Court of Appeals, Third Circuit, 1962. 302 F.2d 803.
This case concerns the importance of a pretrial order.
If issues remain to be tried after summary judgment motions (if there were any such motions), the district court assigns a trial date. At that point, standard practice is to require the parties to meet to propose a pretrial order listing the claims, defenses and issues to be tried, the witnesses the parties anticipate calling, the documents and other exhibits they will introduce, the length of time the trial will require (or that the district court will allow it to occupy), and other such issues.
This case concerns what happens when a party attempts at trial to depart from the provisions of the pretrial order.
Opinion
McLaughlin, Circuit Judge
In this personal injury admiralty action libellant filed a pretrial memorandum stating that he was relying upon the condition of a winch to prove his cause of action. The judge's pretrial report noted that. Sometime later the suit went to trial. Libellant's attorney included in his opening the fact that the loading had been handled improperly as an important element of his proof of unseaworthiness. The impleaded stevedore employer objected as it was outside the scope of the pretrial memorandum and report. The trial court sustained the objection. Two witnesses on behalf of the libellant, not listed in his pretrial memorandum, were not allowed to testify. Libellant's attorney moved for a continuance and this was denied.
***
Appellant then would have it that the Standing Order did not furnish any ground for the court's barring of the unseaworthy allegation and of the witnesses not mentioned in the appellant's pretrial memorandum or the court's pretrial report. This seems to be founded on the thought that a pretrial memorandum is merely preparatory to the conference and that the court's pretrial order is the sole proof of the results of the pretrial procedure. In this instance, goes the contention, the function of appellant's memorandum was exhausted at the conference and since no pretrial ‘order’ was made there were no binding results of the pretrial steps. The Padovani opinion 1 is cited for this, where it states:
‘Nothing in the rule (16) affords basis for clubbing the parties into admissions they do not willingly make; but it is a way of advancing *806 the trial ultimately to be had by setting forth points on which the parties are agreed after a conference directed by a trained judge.'
Appellant was not clubbed into admissions he did not willingly make. It was his own voluntary statement of the basis of his claim that was included in the pretrial report of the judge. The report was never objected to as incorrectly outlining appellant's pretrial statement.
The position now taken that the pretrial report of the trial judge because it is not titled as an ‘order’ does not comply with Rule 16 is without merit. Appellant's pretrial memorandum was filed. In accordance with the Standing Order it contained a ‘brief summary statement of both the facts of this case and counsel's contention as to the liability of defendant.’ It also contained ‘The names and addresses of all witnesses (except rebuttal) whom the plaintiff expects to call to testify at the time of trial.’ The pretrial conference was held in due course and attended by the attorneys for the parties. Based on the pretrial memoranda and the conference, the district judge drew and filed his report. There was no complaint concerning it or any part of it down to and including the trial until libellant's attorney was stopped in his opening as he went beyond his pretrial outline of alleged liability. The pretrial ‘report’ 2 drawn, signed and filed by the pretrial judge properly and fully (having the particular litigation and its requirements in mind) complies with the requirements of Rule 16. 3 It, including its references to the pretrial memoranda, succinctly fulfilled the letter and spirit of pretrial. It reduced the action to essentials, eliminated surplusage, enabled the parties and the court to prepare for a trial of stated issues, named witnesses and contained no hidden charms. The argument to the contrary, depending as it does on a quibble over the word ‘report’, is rootless.
It is asserted on behalf of the appellant that the Standing Order can only be construed as a request to stipulate, that counsel had no intention of stipulating and that no warning or notice *807 was given by the Standing Order that failure to list the requirements ordered would constitute a stipulation or a waiver of all other theories. Rule 16 gives as the first purpose of pretrial ‘The simplification of issues'. Under the Standing Order counsel were asked to furnish ‘A brief summary of both the facts of the case and counsel's contentions as to the liability of the defendant.’ That was done. Libellant's contentions as to the liability of the defendant were inserted into the Court's Report with the note ‘See pre-trial memo’. The Report was filed September 28, 1959. The trial did not commence until March 14, 1960, a five and a half months interval during which no effort was made to change the signed and filed contentions of the libellant regarding the liability of the defendant or to add names of witnesses. The facts that the situation was plain on its face and that the practice was well settled by then, (the Standing Order having been in effect since October 23, 1958), set the tone for this contention on behalf of appellant. Krieger v. Ownership Corporation, 270 F.2d 265 (3 Cir. 1959), relied upon by appellant is inapposite. We there held that disputed issues of fact actually raised at the pretrial stage could not be resolved by the trial court on motion for summary judgment. It has long been the law that attorneys at the pretrial stage ‘owe a duty to the court and opposing counsel to make a full and fair disclosure of their views as to what the real issues at the trial will be.’ Cherney v. Holmes, 185 F.2d 718, 721 (7 Cir. 1950); Burton v. Weyerhaeuser Timber Co., 1 F.R.D. 571, 572 (D.Oreg.1941). See 3 Moore's Federal Practice, Paragraph 16.11 (2 ed. 1948). It is through such disclosure at pretrial that trial prejudice can be avoided. The awareness of appellant's attorney to the trial situation is apparent in his request for a continuance when he told the court ‘I think under the circumstances I would move for a continuance of the case to give the other side ample time, because actually this is a question of surprise.’ (Emphasis supplied).
It is argued also that the court abused its discretion by refusing to permit amendment of the pretrial memorandum. This was not an easy decision for the trial judge. His inclination clearly, as is habitual with judges, was to help. And help he would have if, in his opinion, he could have done so fairly. But he was confronted with the realization that if he granted the request or allowed a continuance of the trial he was repudiating the whole pretrial theory and system as understood and followed in the Eastern District at a crucial period of its existence. Pretrial was finally on a firm foundation there. The judges had all given it generous and complete attention.
This, with the gradual realization of the bar that pretrial was here to stay as a vital element of litigation practice and its resultant full cooperation, had made pretrial procedure routine in the Eastern District. One consequence was that directly and indirectly enormous relief was given the badly clogged trial list. It was admittedly vitally important to make sure that pretrial procedure would continue to function properly. One necessary phase of attaining that objective was, as expressed by the trial judge, ‘We have come to the point of enforcing it very strictly.’ In the circumstances he considered himself obliged to deny the motions to amend the pretrial memorandum with respect to liability allegations and witnesses. The refusal of appellant's motion for a continuance is in the same category.
Beyond all doubt the judge acted entirely within his discretion. It was difficult for him, it took courage but it was what this sound, experienced judge had to do as he saw it, in accordance with his judicial obligation.
The decree of the district court will be affirmed.
14.9 Note following Payne 14.9 Note following Payne
Payne demonstrates that the pretrial order is vital. Issues not raised in the pretrial order cannot be raised afterward. Further, subsequent cases have held that issues appearing in the pretrial order can be litigated at trial even if they are not raised in the initial pleadings. See Howard v. Kerr Glass, Mfg. Co., 699 F.2d 330 (6th Cir. 1983).