1. Termination of Parental Rights--statutory requirement--diligent efforts to
strengthen family ties
The trial court did not err in a parental rights termination case by failing to address
whether the Department of Social Services (DSS) had made diligent efforts to strengthen family
ties, because the statutory requirement under N.C.G.S. § 7A-289.32(3) regarding a parent's
failure to show positive response to the diligent efforts of DSS was no longer applicable at the
time the petition to terminate respondent's parental rights was filed.
2. Termination of Parental Rights--clear, cogent, and convincing evidence--substance
abuse--domestic violence
Grounds for termination of respondent mother's parental rights have not been established
by clear, cogent, and convincing evidence based on substance abuse and alleged domestic
violence in the home, because: (1) the Department of Social Services failed to present any
evidence on the issue of the alleged domestic violence; (2) the trial court placed upon respondent
an inappropriately difficult burden of proof on the issue of the substance abuse since N.C.G.S. §
7A-289.32(3) only requires a showing of reasonable progress under the circumstances in
correcting the conditions which led to the child's removal, and the evidence shows that
respondent made reasonable progress under the circumstances in correcting the conditions which
led to the removal of the child; and (3) the record is devoid of any evidence establishing that
respondent has used drugs on even a single occasion since approximately August 1997.
3. Termination of Parental Rights--clear, cogent, and convincing evidence--neglect
Grounds for termination of respondent mother's parental rights have not been established
by clear, cogent, and convincing evidence based on neglect as defined under N.C.G.S. § 7A-
517(21) in a situation where the child had not been in the custody of respondent mother for a
significant period of time prior to the termination hearing, because the trial court made no
findings regarding the determinative factors as they existed at the time of the hearing such as
evidence of visitation or testimony to the effect that respondent has not made extensive efforts to
create and continue a bond with the child.
Judge HUNTER concurring in part and dissenting in part.
Julia Talbutt, for petitioner-appellee.
R. Clarke Speaks, for respondent-appellant.
Regina Floyd-Davis, for the Guardian ad Litem.
HUDSON, Judge.
Dawn Allison Weitner Cole (respondent), the mother of Kristina
Taylor Lindsey Pierce (the child), appeals from the trial court's
order terminating her parental rights. We reverse.
We begin by providing a synopsis of the uncontroverted
evidence presented at the termination hearing. In August of 1996,
the New Hanover County Department of Social Services (DSS) first
became involved with respondent and her two older children
(fathered by Ronald Cole). The child in question was born to
respondent and James Pierce (Pierce) on 28 June 1997. At the time
of her birth, the child tested positive for cocaine. The child was
initially placed in the care of her grandmother Linda Meeks
(Pierce's mother) in June of 1997. In July of 1997, Meeks informed
DSS that, because of her age, she was unable to provide care for
the child. The child was then placed back in the care of
respondent and Pierce for two weeks. At that time respondent was
participating in a substance abuse treatment program called New
Visions. After two weeks, DSS discovered that respondent had
tested positive for cocaine on three occasions since the child was
born.
In August of 1997, DSS petitioned the court for custody of the
child and for custody of respondent's two older children, based
upon the suspected substance abuse of respondent, and upon three
alleged incidents of domestic violence. The court awarded custody
of the child to DSS on 7 August 1997, and the child was placed in
foster care. Neither the petition nor the order appears in the
record on appeal, so we are unable to discern the precise basis forthe order. The court also awarded DSS custody of the two older
children, who were placed with their father, Ronald Cole. On 17
October 1997, Pierce was arrested and incarcerated. In October or
November of 1997, respondent moved from Wilmington, North Carolina
to live with her mother in Maryland. In June of 1998, Pierce was
released from prison. The child remained in foster care until 4
December 1998, at which time she was placed with Pierce's first
cousin, Wendy Sellers, and her husband Jesse Sellers in Charlotte,
North Carolina.
DSS filed a petition on 24 June 1999 to terminate respondent's
parental rights to the child. A hearing was conducted over a
period of two days on 28 October 1999 and 15 November 1999. At the
time of the hearing, the child was two and a half years old and
continued to live with Wendy and Jesse Sellers. Following the
hearing, the trial court entered an order on 28 December 1999
terminating respondent's parental rights. Respondent appeals from
this order, raising three assignments of error.
We first note that the record on appeal as settled and filed
by the parties, does not contain a copy of a Notice of Appeal.
Ordinarily, a Notice of Appeal must be timely filed in order to
confer jurisdiction on this Court, and the Rules of Appellate
Procedure require the Notice to be included in the Record on
Appeal. See N.C. R. App. Pro. 3(b)(1). However, the Clerk of this
Court has received by mail a certified copy of a Notice of Appeal,
filed in this case on 23 November 1999. In our discretion and on
our own motion, we hereby amend the Record on Appeal, to include
the Notice of Appeal. See State v. Morris, 41 N.C. App. 164, 166,254 S.E.2d 241, 242 (allowing the addition of the Notice of Appeal
to the Record on Appeal), cert. denied, 297 N.C. 616, 267 S.E.2d
657 (1979).
[1]In her first and second assignments of error, respondent
argues that (1) the trial court committed reversible error by
failing to address whether DSS had made diligent efforts to
strengthen family ties, and that (2) the record was insufficient
to support a finding by clear, cogent, and convincing evidence,
that DSS had made such efforts. Respondent contends that, pursuant
to the holding in In re Harris, 87 N.C. App. 179, 360 S.E.2d 485
(1987), the petitioner must prove the absence of a positive
response to agency efforts, which, in turn, requires DSS to prove
that it made diligent efforts to encourage respondent to strengthen
her parental relationship in the first place.
However, respondent's argument, and the requirements addressed
in Harris, are based upon a statutory provision that was no longer
applicable at the time the petition to terminate respondent's
parental rights was filed. In Harris, the applicable statute
provided that a court could terminate the parental rights upon a
finding that:
(3) The parent has willfully left the child in
foster care for more than 12 months without
showing to the satisfaction of the court that
reasonable progress under the circumstances
has been made within 12 months in correcting
those conditions which led to the removal of
the child or without showing positive response
within 12 months to the diligent efforts of a
county Department of Social Services . . . to
encourage the parent to strengthen the
parental relationship to the child . . . .
N.C. Gen. Stat. § 7A-289.32(3) (1995) (emphasis added). However,
subdivision (3) was amended in 1997, see 1997 N.C. Sess. Laws ch.
390, §§ 1 and 2, and the amended version became applicable to all
actions commenced on or after 1 October 1997. At the time the
petition was filed in the present case, on 24 June 1999,
subdivision (3) of the statute provided that the court may
terminate the parental rights upon a finding that:
(3) The parent has willfully left the child in
foster care or placement outside the home for
more than 12 months without showing to the
satisfaction of the court that reasonable
progress under the circumstances has been made
within 12 months in correcting those
conditions which led to the removal of the
child.
N.C. Gen. Stat. § 7A-289.32(3) (Cum. Supp. 1998). Thus, at the
time the petition was filed in this case, subdivision (3) of the
statute no longer included the italicized language quoted above
regarding a parent's failure to show positive response to the
diligent efforts of DSS. Respondent's first two assignments of
error are, therefore, without merit.
[2]Respondent's third assignment of error states: The
evidence at trial was insufficient to support the court[']s finding
that Respondent-Appellant had failed to make substantial progress.
We first note that the trial court did not expressly find that
respondent has failed to make substantial progress. However, in
our discretion, pursuant to N.C. R. App. P. 2, we deem respondent's
assignment of error sufficient to challenge findings numbered 8, 10
and 12, and the conclusion that was entered by the trial court,
that the grounds for termination of the Respondent's parentalrights have been established by clear, cogent and convincing
evidence.
A proceeding for termination of parental rights involves two
stages. At the adjudication stage, the petitioner has the burden
of proving by clear, cogent, and convincing evidence that one or
more of the grounds warranting termination, as set forth in
N.C.G.S. § 7A-289.32, exist. If one or more of the specific
grounds listed in the statute is established, then the court moves
to the disposition stage to determine whether it is in the best
interests of the child to terminate the parental rights. See N.C.
Gen. Stat. §§ 7A-289.30(e) and 7A-289.31 (1995); In re Montgomery,
311 N.C. 101, 110, 316 S.E.2d 246, 252 (1984). Here, because we
hold that several of the findings are not supported by the
evidence, and that the remaining findings do not support the
conclusion that grounds for termination have been established, we
do not reach any discussion of the disposition stage.
The petition filed by DSS alleges that termination of
respondent's parental rights is warranted pursuant to both
subdivision (2) and subdivision (3) of N.C.G.S. § 7A-289.32. The
pertinent portion of this statute provides:
The court may terminate the parental rights
upon a finding of one or more of the
following:
. . . .
(2) The parent has . . . neglected the child.
The child shall be deemed to be . . .
neglected if the court finds the child to be .
. . a neglected child within the meaning of
G.S. 7A-517(21).
(3) The parent has willfully left the child in
foster care or placement outside the home for
more than 12 months without showing to the
satisfaction of the court that reasonableprogress under the circumstances has been made
within 12 months in correcting those
conditions which led to the removal of the
child.
N.C.G.S. § 7A-289.32. Although the petition sets forth these two
alternative grounds for termination, the trial court's order does
not specify which of these two grounds it relied upon in
terminating respondent's parental rights. As noted above, the
conclusion of law regarding the grounds for termination states only
that the grounds for termination of the Respondent's parental
rights have been established by clear, cogent and convincing
evidence.
Upon a careful examination of the order, we believe the trial
court intended to hold only that the evidence satisfied the grounds
set forth in subdivision (3) of N.C.G.S. § 7A-289.32 (a failure to
show to the satisfaction of the court that reasonable progress
under the circumstances has been made within 12 months in
correcting those conditions which led to the removal of the
child). Our interpretation of the order is supported by the fact
that all three parties submitting briefs to this Court (petitioner,
respondent, and the Guardian ad Litem) have similarly interpreted
the trial court's order as a termination of parental rights based
only upon subdivision (3) of the statute. However, in the interest
of addressing all possible bases for the trial court's order, we
have reviewed whether the evidence supports the conclusion that the
grounds set forth in either subdivision (2) or (3) have been
established. This review entails (1) whether the findings of fact
are supported by clear, cogent, and convincing evidence, and (2)whether these findings support the legal conclusion that grounds
for termination of parental rights have been established pursuant
to either subdivision (2) or (3) of N.C.G.S. § 7A-289.32.
We begin with subdivision (3), which requires a showing that
the respondent has failed to make reasonable progress under the
circumstances . . . within 12 months in correcting those conditions
which led to the removal of the child. N.C.G.S. § 7A-289.32. As
noted above, the two concerns that prompted DSS to take custody of
the child in August of 1997 were (1) substance abuse by respondent
and Pierce, and (2) alleged domestic violence in the home. In its
termination order, the trial court made no findings regarding
evidence of domestic violence. Having carefully reviewed the
evidence presented at the hearing, we believe the absence of any
such findings in the order is consistent with the complete lack of
evidence presented by DSS on this issue. Because the burden of
proof is on the petitioner in a termination proceeding, and because
DSS did not present evidence on this issue, termination of
respondent's rights in this case would not be proper based upon a
failure to show reasonable progress in correcting the alleged
problems involving domestic violence.
Therefore, the remaining question in our analysis of the
subdivision (3) allegations is whether there was clear, cogent, and
convincing evidence indicating that respondent had failed to make
reasonable progress under the circumstances in overcoming her
substance abuse. We first review the findings of the trial court,
and then the pertinent evidence presented on this issue, and then
review and discuss whether the findings are supported by clear,cogent, and convincing evidence.
In its order, the trial court made the following findings:
8. That the initial removal of the child from
the home of Respondent followed a failed
attempt at in-patient treatment for substance
abuse by the Respondent. That throughout the
pendency of the neglect proceeding various
demands were made by [DSS] and [the GAL] and
Orders were entered [by the court] requiring
Respondent to provide objective proof of
participation in a program of drug
rehabilitation which required regular, random
drug screens. That Respondent has not
provided such documentation or evidence. That
the Respondent has clearly made herculean
progress in overcoming her addictions but the
Court does not have adequate objective
evidence that the Respondent has totally
resolved her problems of substance abuse.
Respondent was advised to attend weekly
session[s] of Narcotics Anonymous and has
chosen to attend on an every-other-week basis.
Respondent has not provided the results of
long term regular random drug screens. That
the evidence is not clear that for the long
term, Respondent has resolved the issue of
substance abuse which led to the removal of
the child from her care.
We first note that in this finding, as well as in statements at the
hearing, the trial court placed upon respondent an inappropriately
difficult burden of proof on this issue. This burden of proof
constitutes error because the statute requires only a showing of
reasonable progress under the circumstances in correcting the
conditions which led to the removal of the child. Thus, even if
the evidence supported the trial court's finding that there was no
objective evidence presented at the hearing that respondent has
totally resolved her substance abuse for the long term, this
finding would not be relevant to whether the grounds set forth in
subdivision (3) of the statute have been satisfied.
Additional findings bearing in part on this issue are thefollowing:
10. That while Respondent has made substantial
progress in getting her own life back
together, she has done so in a place in which
she has no substantial support system to the
extent that she must resort to maintaining the
relationship with the mother of the father of
the child.
. . . .
12. That in light of the progress made by the
mother, the Respondent in overcoming her
addictions and getting her life together, her
decision to move out-of-state was a wise
decision for her. However the decision to
move out of state made visitation with her
daughter difficult. Visitation was impeded by
the mother's failure to produce objective
evidence of participation in regular, random
drug screens and an approved program of
rehabilitation.
The remaining portions of these findings have no bearing on the
issue of Respondent's progress in overcoming her addiction.
The pertinent evidence included Respondent's testimony that in
1992, Ronald Cole, her husband of many years and the father of her
two older children, left her and the two children. Realizing that
she needed additional income, respondent went back to school and
earned a degree as a nurse while continuing to work full time. In
1994, Cole came back and he and respondent attempted to resolve the
difficulties in their relationship. In December of 1995, Cole
again left. In 1996, respondent began a relationship with Pierce
and, several months thereafter, discovered that she was pregnant
with his child; however, Pierce indicated that he did not want her
to have the child. Respondent testified that it was around this
time that she began using drugs, and she acknowledged that when the
child was born the child tested positive for cocaine. Respondentsought counseling at the New Visions program in July of 1997, but
she used drugs again in August of 1997. Respondent testified that
she has not used drugs since that time.
Respondent testified that she attended a substance abuse
treatment program in Maryland after moving there in 1997, and that
she tested negative for drugs in May of 1998. She testified that
the reason she left this program in June of 1998 was because she
had been told that she had completed the program successfully, and
because she had been told by her attorney that the court considered
the program at that facility to be unprofessional. Respondent
acknowledged that she visited Pierce in North Carolina when he was
released from prison in June of 1998, but she denied that she had
used drugs during this four-day visit.
Respondent did not seek to enter another program until
November of 1998, at which time she entered the Counseling Services
Alternatives (CSA) program. She testified that she successfully
finished this program in May of 1999, and that she maintains an
ongoing relationship with the counselors and the director at CSA.
A letter from the director of CSA was admitted as evidence. This
letter states that respondent successfully completed the program,
and further states that she tested negative in eleven random drug
screens between November of 1998 and May of 1999. A second
document was admitted, signed by a counselor at CSA, which states
that respondent completed the 26-week treatment program. Also, a
set of documents was admitted consisting of monthly summaries
indicating respondent's attendance in the CSA program between
November of 1998 and May of 1999. These documents include theresults of respondent's drug screening tests during this period,
which show that she tested negative each time. Respondent further
testified that at the time of the hearing she was attending
Narcotics Anonymous meetings about once every two weeks and that
she was in contact with her sponsor two or three times each week.
Finally, respondent testified that she had been tested for drugs
before being hired by the hospital where she currently works, and
that she assumes the results were negative since she was hired.
Johnny Bullard, a DSS caseworker, testified that the last time
respondent tested positive for drugs was in August of 1997.
Bullard also corroborated the following facts: that respondent
participated in the New Visions program for a short period of time
in 1997; that respondent began treatment again in Maryland in
approximately January of 1998; that respondent remained in
treatment in Maryland until approximately June of 1998; and that
during this time, respondent attended treatment once or twice a
week. However, contrary to respondent's testimony, Bullard
testified that respondent was discharged unsuccessfully from the
program because of attendance problems. Bullard testified that he
has no knowledge of respondent's efforts to overcome her substance
abuse after June of 1998. Bullard also testified that, in his
opinion, DSS has never received information indicating that
respondent has overcome her substance abuse.
The Guardian ad Litem (GAL) testified that she believes it is
in the best interests of the child for respondent's parental rights
to be terminated. However, despite taking a position generally
adverse to respondent, the GAL testified that she had spoken withrespondent's most recent substance abuse counselor, Betty Caldwell,
who stated that respondent had done very well and had completed
her treatment. Caldwell did not indicate to the GAL that
respondent had ever had any positive drug tests. Caldwell also
told the GAL that attending Narcotics Anonymous meetings would
provide strong follow-up treatment, and that respondent had told
Caldwell that respondent was attending Narcotics Anonymous meetings
about every other week. The GAL also testified that she had been
investigating the case for over two years prior to the time of the
hearing (since August of 1997), and that during that time she had
not found any evidence of drug use by respondent.
Based on this evidence, the trial court made several
inconsistent findings (including those quoted above), some of which
are supported by clear, cogent, and convincing evidence and some of
which are not. For example, the trial court found that Respondent
has clearly made herculean progress in overcoming her addictions,
that Respondent has made substantial progress in getting her own
life back together, and that in light of the progress made by .
. . the Respondent in overcoming her addictions and getting her
life together, respondent's decision to move to Maryland to live
with her mother was a wise decision for her. The trial court
also found that respondent's current employment required drug
screening and while Respondent does not have the results of such
screening, her employment implies that the screening did not detect
any illegal substance or usage. These findings are supported by
clear, cogent, and convincing evidence.
However, the trial court also found that respondent failed toprovide objective proof of participation in a pr
ogram of drug
rehabilitation which required regular, random drug screens, and
that respondent's progress had been made in a place in which she
has no substantial support system. The trial court further found
that the level of responsibility that Respondent has manifested in
her relationship with the father of the child is very similar to the
denial she manifested when first confronted with her efforts to
overcome her addictions, and that respondent's visitation with the
child was impeded by the mother's failure to produce objective
evidence of participation in regular, random drug screens and an
approved program of rehabilitation. These findings of fact are not
supported by clear, cogent, and convincing evidence.
Disregarding those findings of fact that are not supported by
the evidence, the next question is whether the remaining findings
support the conclusion that the grounds for termination set forth
in subdivision (3) of the statute have been established. We believe
they do not. In fact, we believe these findings, and indeed the
entire body of evidence presented at the hearing, compel the
opposite conclusion: that respondent has, in fact, made reasonable
progress under the circumstances in correcting the conditions which
led to the removal of the child. Most significantly, we note that
the record is utterly devoid of any evidence establishing that
respondent has used drugs on even a single occasion since
approximately August of 1997. Therefore, we reverse the trial
court's conclusion that the grounds set forth in N.C.G.S. § 7A-
289.32(3) have been established.
[3]Having concluded that the evidence and the trial court'sfindings regarding respondent's substance abuse do not
support the
conclusion that respondent has failed to make reasonable progress
under the circumstances, we now address the second ground for
termination alleged in the petition: neglect. A neglected
juvenile is defined as follows:
A juvenile who does not receive proper care,
supervision, or discipline from the juvenile's
parent, guardian, custodian, or caretaker; or
who has been abandoned; or who is not provided
necessary medical care; or who is not provided
necessary remedial care; or who lives in an
environment injurious to the juvenile's
welfare; or who has been placed for care or
adoption in violation of law.
N.C. Gen. Stat. § 7A-517(21) (1995). Where, as here, a child has
not been in the custody of the parent for a significant period of
time prior to the termination hearing, the trial court must employ
a different kind of analysis to determine whether the evidence
supports a finding of neglect. This is because requiring the
petitioner in such circumstances to show that the child is currently
neglected by the parent would make termination of parental rights
impossible. See In re Ballard, 311 N.C. 708, 714, 319 S.E.2d 227,
231 (1984) (overturning the termination of the mother's parental
rights). The determinative factors must be the best interests of
the child and the fitness of the parent to care for the child at the
time of the termination proceeding. Id. at 715, 319 S.E.2d at 232.
Although prior adjudications of neglect may be admitted and
considered by the trial court, they will rarely be sufficient,
standing alone, to support a termination of parental rights, since
the petitioner must establish that neglect exists at the time of thehearing. Id. at 713-14, 319 S.E.2d at 231. Thus, the trial cou
rt
must also consider evidence of changed conditions in light of the
history of neglect by the parent, and the probability of a
repetition of neglect. Id. In addition, visitation by the parent
is a relevant factor in such cases. See In re White, 81 N.C. App.
82, 90, 344 S.E.2d 36, 41 (holding that the trial court correctly
terminated the father's parental rights by reason of neglect), disc.
review denied, 318 N.C. 283, 347 S.E.2d 470 (1986).
As stated above, the order does not indicate that the trial
court intended to terminate respondent's parental rights on the
grounds of neglect. The parties submitting briefs to this Court
have similarly interpreted the trial court's order as relying only
upon the grounds set forth in subdivision (3) of the statute, and
not upon a finding of neglect. Moreover, the findings of fact
entered by the trial court would not support termination based upon
neglect. However, because the petition alleges neglect as an
alternate basis for termination, we have reviewed the record to
determine whether there is sufficient evidence to establish neglect
pursuant to N.C.G.S. § 7A-289.32(2). We conclude there is not.
Here, the trial court made no findings at all regarding the
determinative factors as they existed at the time of the hearing.
For example, as to visitation, the evidence showed that respondent
visited with the child on more than a dozen occasions between August
1997 and the date of the hearing, and that she had attempted to do
so even more frequently. Johnny Bullard testified regarding the
visits that respondent basically is able to have pretty good visitswith the child. She has a way about her that, you know, the child
seems to be at ease with her. There was no testimony to the effect
that the respondent has not made extensive efforts to create and
continue a bond with the child. In fact, the evidence from Bullard
and the GAL was to the effect that after June of 1998, they focused
their efforts entirely on termination, and made no effort to learn
the status of respondent's efforts to improve her situation. In
light of Ballard, we do not believe the evidence could have formed
an adequate basis for findings or conclusions that grounds for
termination existed based on neglect.
In sum, neither the evidence, nor those findings of fact that
are supported by clear, cogent, and convincing evidence, support the
conclusion that the grounds for termination in either subdivision
(2) or (3) of N.C.G.S. § 7A-289.32 have been established.
Reversed.
Judge MARTIN concurs.
Judge HUNTER concurs in part and dissents in part.
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