This case presents an appeal from a participant's discharge from the drug court program.
On December 23, 2008, Samantha A. Shambley pled guilty to possession of a controlled substance, a Class IV felony, in violation of Neb.Rev.Stat. § 28-416(3) (Reissue 2008). The district court accepted the plea and adjudged her guilty of the offense. In lieu of sentencing at that time, the court transferred the case to the drug court program.
The drug court program is a postplea or postadjudicatory intensive supervision drug and alcohol treatment program for eligible offenders.
The parties agree that Shambley signed a drug court contract which, among other things, required that she stay drug free. On August 28, 2009, Shambley appeared before a judge of the drug court after reports that she had used marijuana. Shambley admitted that she had used. Shambley promised to try harder to comply with the terms and conditions of the program. She was not represented by counsel, and no evidence was adduced or specific findings made. In a written order, the judge revoked Shambley's bond for 72 hours, during which time she was ordered incarcerated "for violations of [her] Drug Court program."
Similar proceedings occurred on November 13 and December 4, 2009. At the November 13 proceeding, the judge told Shambley that she could not smoke marijuana and referred to the fact that she had missed drug tests. Shambley neither specifically admitted nor denied having done so. Shambley again told the judge that she wanted to stay in the program. The judge revoked her bond for 72 hours and
During her appearance on December 4, 2009, Shambley admitted to having had another "setback." She was sent to spend the weekend in jail "for violations of [her] Drug Court program." She was ordered to report back on December 18, but there is no record of any meeting on that date.
On February 5, 2010, Shambley appeared to discuss yet another report of drug usage, which she neither admitted nor denied. The judge warned Shambley that she was at risk for termination from the drug court program.
On March 12, 2010, the judge again told Shambley that she had tested positive for drugs. Shambley, however, denied that she had used on the occasion in question. The judge informed Shambley that this time, the drug court team had recommended that she be terminated from the program. The judge scheduled an informal hearing to determine the issue of the recommended termination.
The hearing on termination was held on March 25, 2010. For the first time, Shambley appeared with counsel. The court explained that it was Shambley's burden to go forward with showing why she should not be terminated from the program, stating:
The State did not argue any position as to the termination and did not present any evidence or call witnesses. The judge noted that he had received the letter from the drug court coordinator recommending Shambley's termination. The letter and its attachments were the only evidence in support of termination.
In the letter, the drug court coordinator alleged three instances of drug usage for the court to consider at the termination hearing: (1) February 5, 2010, (2) March 11, 2010, and (3) March 19, 2010. The coordinator made a brief synopsis of Shambley's recent difficulties in following the drug court contract and included five attachments as proof of those difficulties.
The first attachment was a discharge summary report from the rehabilitation center where Shambley stayed from December 2009 to January 2010. The report summarized that Shambley had relapsed three times while at a previous center and that that was the reason for her transfer. The report stated that Shambley made good progress at the center. She was discharged, with a favorable prognosis, to a halfway house.
According to the drug court coordinator's letter, the placement at the halfway house was unsuccessful. The second attachment was a letter written by a therapist of a therapeutic community where Shambley was admitted on February 9, 2010, apparently after her discharge from the halfway house. The therapist stated that Shambley was admitted "due to her continued substance use." The therapist also stated that while at the community, Shambley violated the conditions of a pass when she skipped an appointment to go shopping and she tested positive for marijuana on March 8, 2010.
The third and fourth attachments were printouts from a toxicology laboratory.
The final attachment, a printout of an e-mail from an unidentified author to an unidentified recipient, discussed the fact that a February 24, 2010, drug test of Shambley was negative with a weak concentration, but should nevertheless be considered a positive result.
Shambley's counsel objected to the court's consideration of the letter and its attachments on the grounds of hearsay and lack of foundation. Counsel also argued that the manner in which the report was received and in which the proceedings were being conducted violated Shambley's rights to due process and confrontation. Counsel argued that he was neither able to adequately question the veracity of the unsworn hearsay allegations contained in the letter and its attachments nor able to effectively examine the meaning and reliability of the unauthenticated laboratory printouts.
The court overruled all objections. Shambley testified at the hearing that she did not use illegal drugs on March 11, 2010. She was not asked and did not discuss whether she had used drugs on the other two occasions alleged by the drug court coordinator as grounds for termination from the program.
The judge concluded that he agreed with the letter and its attachments outlining Shambley's "difficulties." Apparently in reference to prior meetings with Shambley and ex parte meetings with the drug court team, the judge said he was "certainly ... familiar with" these difficulties. He also observed that the letter now "indicate[d] a positive test, which [he had] no reason to dispute."
Based on this evidence, the judge agreed with the drug court team's recommendation to discharge Shambley from the program. The judge found that keeping Shambley in the drug court would not be in her best interests and would erode the integrity of the drug court program. In light of Shambley's discharge from the drug court program, the court scheduled a hearing in the district court to determine Shambley's sentence on the possession of a controlled substance conviction.
At the sentencing hearing, the same judge, now acting as a judge of the district court, sentenced Shambley to 90 days' incarceration with credit for 9 days served while awaiting sentence. Shambley appeals her termination from the drug court program.
Shambley assigns that the lower court erred in (1) terminating Shambley from the drug court program without affording her due process of law, in violation of the 14th Amendment to the U.S. Constitution and corresponding sections of Nebraska law; (2) placing the burden of proof on Shambley to go forward and show why she should not be terminated from the drug court program, thereby violating her rights to due process as guaranteed to her under the 14th Amendment to the U.S. Constitution and corresponding sections of Nebraska law; (3) receiving into evidence the probation report over Shambley's objections, thereby denying her the right to confront and cross-examine witnesses against her; and (4) finding sufficient evidence to terminate Shambley from the drug court program, insofar as the inadmissible report was the only evidence against her.
The determination of whether the procedures afforded an individual comport with the constitutional requirements for procedural due process presents a question of law.
In considering claims under the Due Process Clause of the 14th Amendment, we first consider whether the nature of the interest is one within the contemplation of the liberty or property language of the 14th Amendment.
The U.S. Supreme Court has not had occasion to address due process in the context of termination from problem-solving diversion programs such as the drug court program. The Court has, however, examined what procedures due process requires in the revocation of parole or probation.
The Court said that such liberty, although indeterminate and perhaps a "`privilege,'" includes many of the core values of unqualified liberty and is, therefore, an interest within the contemplation of the liberty or property language of the 14th Amendment.
To determine exactly what process is due, the Court balanced the individual's interest in his or her conditional liberty with the interests of the State. Because the termination of parole or probation does not deprive an individual of the absolute liberty to which every citizen is entitled, that having already been taken away upon conviction, the Court held that the process a parolee or probationer is due does not include "the full panoply of rights due a defendant in [a criminal prosecution]."
On the other hand, the Court concluded that there is no necessity for summary treatment of the parolee or probationer and that revocation is not such a discretionary matter that some form of hearing would be "administratively intolerable."
Having considered the weight of the relative interests at stake, the Court concluded that before a parolee or probationer is deprived of his or her conditional liberty, there must be "an informal hearing structured to assure that the finding of a ... violation will be based on verified facts and that the exercise of discretion will be informed by an accurate knowledge" of the parolee's or probationer's behavior.
More specifically, the Court held that due process requires, at a minimum, both a preliminary hearing at or near the time of arrest, to determine whether there is probable cause or reasonable ground to believe that the parolee or probationer has committed acts that would constitute a violation of his or her conditions, and another opportunity for a hearing before the final finding of a violation and decision of revocation.
Beyond this, the Court described the required procedure as "flexible" and subject to further refinement by the states.
Shambley argues that a participant in the drug court program has a conditional liberty interest in continuing in the program similar to the conditional liberty interests of participants in preparole, early release programs; parolees; and probationers. She asserts that she should thus be afforded the same due process protections and that those protections were not afforded in this case.
We have never directly addressed this question. In In re Interest of Tyler T.,
The majority of other courts considering the issue have determined that participants facing termination from postplea diversion programs, such as the drug court program, are entitled to the same due process protections as persons facing termination of parole or probation.
The State's interests, as in parole or probation, include an interest in being able to terminate participation in the program without the burden of a full adversary criminal trial.
As with parole and probation, it is in the State's interests that drug court participants are restored to a normal and useful life. This is, after all, the point of the program. Accordingly, the State, like the participant, has an interest in seeing that there is a termination process which ensures participants are not terminated from the program because of erroneous information or because of an erroneous evaluation of the need to terminate.
Considering the relative interests in the drug court program together with
Applying these standards, we conclude that Shambley's termination hearing did not comport with the minimal due process to which a drug court participant is entitled. The drug court coordinator's letter and its attachments, considered without establishing foundation or reliability and containing statements made without personal knowledge, were insufficient to sustain the State's burden of proof. In addition, the failure to proffer any witness for Shambley to cross-examine as to the veracity of those statements, and the soundness of the recommendation to terminate, violated Shambley's right to cross-examination as set forth in Morrissey and Gagnon.
In State v. Mosley
The probationer's objection at the hearing claiming hearsay and the right to confrontation was sufficient to preserve these rights.
Despite the flexible standard which allows the consideration of hearsay evidence inadmissible under the rules of evidence, absent a showing of good cause, the drug court participant, parolee, or probationer has the right to confront adverse witnesses with personal knowledge of the evidence upon which the termination or revocation is based.
In addition, we agree with Shambley that the State failed to sustain its burden of proof when the sole evidence against her was the drug court coordinator's letter and its accompanying attachments, consisting of hearsay and hearsay within hearsay and considered without specific findings of reliability. While the burden of proof is not a point specifically discussed in Morrissey or Gagnon, it is understood that the State carried a greater burden of proof at the final revocation hearing than at the preliminary "probable cause" hearing. Other jurisdictions specifically hold that minimal due process demands that the State bear the burden of showing the grounds for revocation of parole or probation by a preponderance of the evidence.
The U.S. Supreme Court has said that the required procedure is flexible enough to allow consideration of evidence, including letters, affidavits, and other material that would not be admissible in an adversary criminal trial. Nevertheless, the sole reliance on hearsay evidence in parole and probation hearings, especially when no findings of substantial reliability are made, is generally considered a failure of proof.
Few instances can be found, such as the one with which we are now presented, where the only evidence against the participant is letters and printouts with not even a single witness testifying in support of these documents. Needless to say, courts confronted with such a record find the evidence insufficient.
We disagree with the State's argument that it made a prima facie case and that the drug court was merely shifting the burden to Shambley to rebut it. A prima facie case is made by an amount of
While we acknowledge, as the State points out, that on some prior occasions before the drug court, Shambley appeared to admit certain acts of drug usage, we note that she was less clear on other occasions. Most importantly, she adamantly denied having used drugs on the occasion for which the drug court team finally recommended her termination. Therefore, Shambley did not waive her due process right to have the State prove by a preponderance of the evidence the alleged drug court contract violations for which her participation was to be terminated, at a hearing conducted in accordance with the principles set forth in Morrissey and Gagnon. The drug court failed to conduct such a hearing, and we must reverse.
We reverse the order of termination and vacate Shambley's sentence, which was imposed after her termination from the program. We remand the cause for a new hearing before the drug court, conducted in accordance with the principles set forth above, to determine the extent to which Shambley violated the terms of the drug court contract and the appropriate action to be taken.
VACATED IN PART, AND IN PART REVERSED AND REMANDED WITH DIRECTIONS.
HEAVICAN, C.J., and WRIGHT, J., not participating.