State ex rel. Caston

• Decision Date: 19 February 2021
• Docket Number: 2020 CA 0768
• Citation: 321 So.3d 419
• Court: Court of Appeal of Louisiana — District of US
• Parties: STATE of Louisiana IN the INTEREST OF Sonja CASTON

321 So.3d 419

STATE of Louisiana IN the INTEREST OF Sonja CASTON

2020 CA 0768

Court of Appeal of Louisiana, First Circuit.

Judgment Rendered: FEBRUARY 19, 2021

Todd A. Hebert, New Orleans, Louisiana, Counsel for Defendant/Appellant Sonja Caston

James Hoffman, Baton Rouge, Louisiana, Counsel for Appellee State of Louisiana Department Of Children and Family Services

BEFORE: GUIDRY, McCLENDON AND LANIER, JJ.

McCLENDON, J.

In this appeal, Sonja Caston challenges the judgment of the district court that reversed the decision of the Division of Administrative Law (DAL). The DAL decision overturned the valid finding of death by neglect against Ms. Caston by the Department of Children and Family Services (DCFS). For the following reasons, we affirm the judgment of the district court.

FACTS AND PROCEDURAL HISTORY

On March 29, 1992, DCFS received a report of abuse and/or neglect identifying Ms. Caston as the alleged perpetrator of abuse and/or neglect against her seven-year old child, C.C. C.C. died on April 1, 1992. After an investigation, DCFS validated the allegation of death resulting from abuse and/or neglect against Ms. Caston. On April 8, 2019, DCFS sent to Ms. Caston notice of the valid finding along with notice of her appeal rights through the DAL. Ms. Caston requested an administrative hearing before the DAL to challenge the validity determination, which hearing was held on June 19, 2019. The DAL issued its decision on July 17, 2019, overturning the DCFS's valid finding of death by neglect against Ms. Caston. The DAL determined that a preponderance of the evidence did not support the conclusion that Ms. Caston's conduct justified the valid finding of death by neglect against her. After its motion for reconsideration was denied, DCFS filed a petition for judicial review of the DAL decision. On November 15, 2019, finding the decision of the DAL contrary to the facts and law, the district court reversed and reinstated DCFS's finding. The district court signed its judgment on December 4, 2019, and Ms. Caston appealed.

STANDARD OF REVIEW

The Louisiana Administrative Procedure Act (LAPA), LSA-R.S. 49:964G, governs the judicial review of a final decision in an agency adjudication and provides:

The court may affirm the decision of the agency or remand the case for further proceedings. The court may reverse or modify the decision if substantial rights of the appellant have been prejudiced because the administrative findings, inferences, conclusions, or decisions are:

(1) In violation of constitutional or statutory provisions;

(2) In excess of the statutory authority of the agency;

(3) Made upon unlawful procedure;

(4) Affected by other error of law;

(5) Arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion; or

(6) Not supported and sustainable by a preponderance of the evidence as determined by the reviewing court. In the application of this rule, the court shall make its own determination and conclusions of fact by a preponderance of evidence based upon its own evaluation of the record reviewed in its entirety upon judicial review. In the application of the rule, where the agency has the opportunity to judge the credibility of witnesses by first-hand observation of demeanor on the witness stand and the reviewing court does not, due regard shall be given to the agency's determination of credibility issues.

Any one of the six bases listed in the statute is sufficient to modify or reverse an agency determination. Mid-City Automotive, LLC v. Louisiana Department of Public Safety, 19-1219 (La.App. 1 Cir. 5/11/20), 304 So.3d 457, 461. The LAPA further specifies that judicial review shall be conducted by the court without a jury and shall be confined to the record. LSA-R.S. 49:964F.

When reviewing an administrative final decision, the district court functions as an appellate court. Mid-City Automotive, 304 So.3d at 461. Once a final judgment is rendered by the district court, an aggrieved party may seek review by appeal to the appropriate appellate court. LSA-R.S. 49:965. On review of the district court's judgment, no deference is owed by the court of appeal to the factual findings or legal conclusions of the district court, just as no deference is owed by the Louisiana Supreme Court to factual findings or legal conclusions of the court of appeal. Carpenter v. State, Dept. of Health and Hospitals, 05-1904 (La.App. 1 Cir. 9/20/06), 944 So.2d 604, 608, writ denied, 06-2804 (La. 1/26/07), 948 So.2d 174. Thus, an appellate court sitting in review of an administrative agency reviews the findings and decision of the administrative agency and not the decision of the district court. Our Lady of Lake Roman Catholic Church, Mandeville v. City of Mandeville, Planning & Zoning Comm'n., 13-0837 (La.App. 1 Cir. 2/3/14), 147 So.3d 186, 189. Consequently, this court will conduct its own independent review of the record in accordance with the standards provided in LSA-R.S. 49:964G.

DISCUSSION

Louisiana Children's Code Article 616, provides, in pertinent part:

A. The department shall maintain a state repository of all reports of abuse and neglect....

B. Within the state repository, the department shall maintain a state central registry of certain justified reports of abuse and neglect as set forth in rules promulgated by the department. The name of an individual who was placed on the state central registry as a perpetrator of abuse or neglect prior to the effective date of Article 616.1.1 shall not be released outside of the department until that individual's administrative appeals are exhausted.

Children's Code Article 616.1.1 provides:

A. When a report alleging abuse or neglect is determined to be justified by the department, the individual who is or was the subject of the determination may make a formal written request to the division of administrative law for an administrative appeal of the justified determination, in accordance with the procedures set forth in Title 67 of the Louisiana Administrative Code.

B. The department shall promulgate, in accordance with the Administrative Procedure Act, all rules and regulations necessary to implement the provisions of this Article.

Article 616.1.1 was added by Acts 2017, No. 348, § 1. Section 6 of the Act provided that "[t]his Act shall become effective upon promulgation and publication by the Department of Children and Family Services of the final rules to implement the provisions of this Act." The rules became effective in 2018.

Louisiana Administrative Code Title 67, Part V, § 1111, was promulgated in accordance with Act 348 of 2017, Children's Code Article 616.1.1, and 42 USC § 9858f.¹ LAC 67:V.1111 provides, in relevant part:

A. The Department of Children and Family Services (DCFS) establishes an administrative appeal process with the Division of Administrative Law (DAL). The purpose is to provide individuals the right to appeal DCFS Child Protective Services investigation findings of justified/valid. Any individual with a justified/valid finding of child abuse or neglect may request an appeal of their justified/valid finding directly with DAL.

B. Individuals with justified/valid findings in an investigation prior to August 1, 2018, will have the right to an administrative appeal of any/all of their DCFS findings of justified/valid. When a request for [a state central registry] clearance is received by DCFS, or DCFS verifies that an individual has a justified/valid finding, and the individual is listed as a perpetrator with a justified/valid finding of abuse or neglect in an investigation prior to August 1, 2018; the individual will be notified in writing of their right to an administrative appeal. The individual will have 20 days from the date of the written notification to request an appeal through DAL.

Sometime prior to April 8, 2019, DCFS was sent a state central registry clearance request from the Louisiana Department of Education regarding Ms. Caston. Consequently, DCFS sent Ms. Caston notice, on April 8, 2019, of a justified/valid finding of death by neglect and of her right to an administrative appeal.

DCFS administrative hearings are governed by LAC 67:V.1111.F, which provides:

F. The following provisions shall be applicable to all proceedings related to an administrative appeal request.

* * *

5. DCFS will bear the burden of proving by a preponderance of the evidence that the finding of justified/valid should be upheld.

In her appeal, Ms. Caston argues that the DAL correctly determined that DCFS failed to prove its valid finding of death by neglect against Ms. Caston by a preponderance of the evidence. Therefore, according to Ms. Caston, the district court's judgment should be reversed.

At the time of the DCFS investigation in 1992, LSA-R.S. 14:403 provided, in part:

G. Investigation and Disposition of Reports.

(1) Definitions. For the purpose of screening and investigation, the following terms shall mean:

(a) "Child abuse or neglect" is any condition presenting a substantial risk of harm to a child's health or welfare as a result of conditions apparently created or tolerated by his parent or caretaker.

(Emphasis added). DCFS submitted sixteen exhibits at the administrative hearing to support the valid finding of death by neglect, including the April 8, 2019 notice to Ms. Caston; DCFS policy 4-515² ; DCFS policy 4-535³ ; DCFS intake, case recording, and investigative summary forms and reports; Orleans Parish Police Department reports; medical records; the autopsy report; Orleans Parish Criminal District Court records; and a clinical psychological examination of Ms. Caston. Shonda Henderson, a DCFS consultant for the Protective Services Review Team and a nineteen-year employee with DCFS, testified regarding the documents created as a result of the investigation.

Ms. Caston also testified at the hearing. She stated that about a year and a half before C.C's death, she and her two children moved into the New Orleans apartment of her boyfriend, Douglas Sumner....