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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
IN THE MATTER OF: H.M., K.M., H.M., A.Y.
NO. COA06-948
Filed: 20 March 2007
1. Child Abuse and Neglect--neglect and dependency--findings of fact_-unable to make
credibility determinations--clear, cogent, and convincing evidence required
The trial court did not err in a juvenile neglect and dependency case by entering finding of
fact number 26 showing DSS failed to prove its allegations by clear, cogent, and convincing
evidence, because: (1) the trial court received and reviewed the transcript from the 25 May 2005
nonsecure custody hearing into evidence; (2) the trial court noted the mother was unrepresented
at that hearing and observed that the transcript showed conflicting testimony during the 25 May
2005 nonsecure hearing; and (3) the trial court was unable to make credibility determinations
from the transcript.
2. Child Abuse and Neglect--neglect and dependency--findings of fact-_father pointed
gun at mother--clear, cogent, and convincing evidence required
The trial court did not err in a juvenile neglect and dependency case by entering finding of
fact number 28 showing DSS failed to prove its allegations by clear, cogent, and convincing
evidence based on the fact that the court was not convinced respondent father pointed a gun at
the mother on 18 May 2005, and the gun was locked even if respondent had pointed the gun,
because the trial court entered uncontested findings of fact that: (1) the mother stated to the
officer that the father had a gun in his possession but did not point it at her; (2) the DA's office
voluntarily dismissed all charges against the father; (3) the DA's office could have proceeded
without the mother's cooperation but chose not to do so; and (4) the father was not in possession
of any firearm when he was arrested.
3. Child Abuse and Neglect--neglect and dependency--findings of fact-_children left
voluntarily with father--no evidence of domestic violence or children put in danger--
clear, cogent, and convincing evidence required
The trial court did not err in a juvenile neglect and dependency case by entering finding of
fact number 29 showing DSS failed to prove its allegations by clear, cogent, and convincing
evidence, because: (1) DSS presented no evidence tending to show the children did not leave
voluntarily with the father; (2) the record and transcripts from the nonsecure and adjudicatory
hearing support the trial court's finding that respondent parents engaged in an argument; and (3)
no evidence of domestic violence or that the children were put in danger was presented.
4. Child Abuse and Neglect--neglect and dependency-_conclusions of law-_failure to
prove minor children neglected or dependent--clear, cogent, and convincing
evidence required
The trial court did not err in a juvenile neglect and dependency case by entering
conclusion of law number 3 that DSS failed to prove by clear, cogent, and convincing evidence
that the minor children were neglected or dependent juveniles, because the trial court entered
uncontested findings of fact that: (1) the father possessed a gun, but did not point it at the mother
or the children; (2) respondent parents' three oldest children left the residence with the father, but
no kidnapping was reported and an Amber Alert was not issued; (3) the DA's office dismissed
charges against the father for communicating threats to and assault by pointing a gun at the
mother; and (4) respondent was not in possession of a firearm when he was arrested.
5. Child Abuse and Neglect--neglect and dependency-_dismissal of all juvenile
petitions
The trial court did not err by dismissing all the juvenile neglect and dependency petitions
at the close of all the evidence at trial, because after the trial court found DSS had failed to prove
its allegations, the court was required by N.C.G.S. § 7B-807(a) to dismiss the petitions.
Appeal by petitioner from order entered 2 February 2006 by
Judge April Wood in Alexander County District Court. Heard in the
Court of Appeals 21 February 2007.
Thomas R. Young, for petitioner-appellee Alexander County
Department of Social Services.
Katharine Chester, for respondent mother-appellee.
Janet K. Ledbetter, for respondent father-appellee.
TYSON, Judge.
Alexander County Department of Social Services (DSS) appeals
from order entered dismissing its juvenile petitions for H.M.,
K.M., H.M., and A.Y. (the minor children). We affirm.
I. Background
J.M. (the father) and M.Y. (the mother) (collectively,
respondent parents) are the parents of the four minor children,
ages two through eight. On the evening of 18 May 2005, respondent
parents argued in the presence of their four children at their
home. The mother held the youngest of the four children in her
arms during the argument.
After the argument, the father's brother contacted the
Alexander County Sheriff's Department. Officer Larry Ingle
(Officer Ingle) answered the call and drove to respondentparents' home. Officer Ingle testified that upon his arrival, the
father had left the home and had taken the three older children
with him. One of respondent parents' family members told Officer
Ingle that the father also possessed a gun. Officer Ingle did not
issue an Amber Alert because the father had not been violent or
used the gun when he left with the children. Officer Ingle
testified he did not see evidence of any physical assault on the
mother.
Officer Ingle and the mother drove to the magistrate's office.
The mother obtained warrants charging the father with assault by
pointing a gun and communicating threats. Social Worker Melissa
Hatten (Hatten) spoke with the mother at the magistrate's office.
Hatten testified that the mother told her that the father had hit
her in the leg and taken the children at gunpoint. Hatten drove
the mother back to her residence. The mother's sister drove her
and the youngest child to Huntersville that evening.
The following day, the father arrived at the mother's sister's
house in Huntersville with the three other children. On 20 May
2005, the mother and all the minor children went to a domestic
violence shelter as requested by DSS. The mother objected going to
the shelter as unnecessary. On 20 May 2005, the father was
arrested at his relative's home in Catawba County. On 23 May 2005,
the district attorney's office dismissed all charges against the
father, due to the mother's refusal to testify. The mother also
left the domestic violence shelter that day. On 24 May 2005, DSS filed a juvenile petition alleging neglect
and dependency for all four minor children. On 24 May 2005, the
trial court filed a nonsecure custody order, and the juvenile
children were placed in custody with DSS. On 2 February 2006, the
trial court filed an adjudication order and concluded DSS failed
to prove by clear and convincing evidence that the minor children
are neglected or dependent juveniles[.] The trial court dismissed
DSS's juvenile petitions. DSS appeals.
II. Issues
DSS argues it supported its allegations in the juvenile
petitions for the minor children by clear, cogent, and convincing
evidence, and the trial court erred when it: (1) entered finding of
fact numbered 26; (2) entered finding of fact numbered 28; (3)
entered finding of fact numbered 29; (4) entered conclusion of law
numbered 3; and (5) dismissed all the juvenile petitions at the
close of all the evidence at trial.
III. Standard of Review
In North Carolina, juvenile abuse, neglect, and dependency
actions are governed by Chapter 7B of the General Statutes,
commonly known as the Juvenile Code. In re A.K., 360 N.C. 449,
454, 628 S.E.2d 753, 756 (2006). Such cases are typically
initiated when the local department of social services (DSS)
receives a report indicating a child may be in need of protective
services. Id. DSS conducts an investigation, and if the
allegations in the report are substantiated, it files a petition indistrict court alleging abuse, dependency, or neglect. Id. at
454, 628 S.E.2d at 756-57.
The first stage in such proceedings is the adjudicatory
hearing. Id.; N.C. Gen. Stat. § 7B-807 (2005). If DSS presents
clear and convincing evidence of the allegations in the petition,
the trial court will adjudicate the child as an abused, neglected,
or dependent juvenile. Id. at 454-55, 628 S.E.2d at 756 (citing
N.C. Gen. Stat. § 7B-807). If the allegations in the petition are
not proven, the trial court will dismiss the petition with
prejudice and, if the juvenile is in DSS custody, returns the
juvenile to the parents. Id.
During the adjudicatory phase, the court takes evidence,
makes findings of fact, and determines the existence or
nonexistence of grounds for termination. In re R.T.W., 359 N.C.
539, 548, 614 S.E.2d 489, 495 (2005) (citing N.C. Gen. Stat. § 7B-
1109(e)). The burden of proof is on DSS in this phase, and the
court's findings must be 'based on clear, cogent, and convincing
evidence.' Id. (citing N.C. Gen. Stat. § 7B-1109(f)).
IV. Finding of Fact Numbered 26
[1] DSS argues it supported its allegations by clear, cogent,
and convincing evidence and the trial court erred when it entered
finding of fact numbered 26. We disagree.
At the adjudicatory hearing, DSS offered into evidence the
transcript of the 25 May 2005 non-secure hearing. Counsel for the
father and the mother stated in court that the mother was notrepresented by an attorney at the non-secure hearing. The trial
court stated she had:
trouble with the fact that the respondent
mother wasn't represented by counsel and I
have trouble as to _ if she made statements
that clearly wouldn't have been admissible and
didn't have the benefit of counsel to object
and to put her on the right track, I have
great trouble with that. But even if we put
them on the stand now, the transcript would be
admissible for purposes of impeachment.
The trial court admitted the transcript into evidence as an
admission of a party-opponent. N.C. Gen. Stat. § 8C-1, Rule 801(d)
(2005).
Finding of fact numbered 26 states:
26. The Court received into evidence a
transcript of the non-secure hearing of May
25, 2005, which included testimony from the
Respondent father and Respondent mother. The
court specifically notes that the Respondent
mother was not represented by counsel at said
hearing. The Respondent parents gave
conflicting and confusing testimony throughout
said hearing. This Court was not able to
observe the demeanor, expressions, or actions
of the Respondent throughout their testimony
making it difficult for this Court to
determine which portions of the testimony
should be considered credible and what weight
should be given to the evidence presented.
Finding of fact numbered 26 is supported by competent
evidence. The trial court received and reviewed the transcript
from the 25 May 2005 non-secure custody hearing into evidence. The
trial court noted the mother was unrepresented at that hearing.
The transcript also showed conflicting testimony during the 25 May
2005 non-secure hearing. The trial court was unable to make
credibility determinations from the transcript. DSS failed tocarry its burden of proof with clear, cogent, and convincing
evidence to substantiate the allegations in its petition. This
assignment of error is overruled.
V. Finding of Fact Numbered 28
[2] DSS argues it supported its allegations by clear, cogent,
and convincing evidence and the trial court erred when it entered
finding of fact numbered 28. We disagree.
Finding of fact numbered 28 states:
28. The Court is not convinced that the
Respondent father pointed a gun at the mother
on May 18, 2005. If the Respondent father
pointed the gun at the Respondent mother on
May 18, 2005, it was locked at the time.
We have reviewed the transcripts from both the non-secure
custody hearing and the adjudicatory hearing and hold the trial
court's finding was supported by competent evidence that DSS failed
to prove its allegations by clear, cogent, and convincing evidence.
The trial court entered uncontested findings of fact that: (1) the
mother stated to Officer Ingle that the father had a gun in his
possession but did not point it at her; (2) the district attorney's
office voluntarily dismissed all charges against the father; (3)
the district attorney's office could have proceeded without the
mother's cooperation but chose not to do so; and (4) the father was
not in possession of any firearm when he was arrested. Finding of
fact numbered 28 is supported by uncontested evidence that DSS
failed to prove its allegations by clear, cogent, and convincing
evidence. This assignment of error is overruled.
VI. Finding of Fact Numbered 29
[3] DSS argues it supported its allegations by clear, cogent,
and convincing evidence and the trial court erred when it entered
finding of fact numbered 29. We disagree.
Finding of fact numbered 29 states:
29. There is ample evidence that the children
left voluntarily with the Respondent father,
that they were not coerced or taken by force
on May 18, 2005. The Respondent parents did
engage in an argument, but there is no clear
evidence of domestic violence or that the
children were put in danger.
(Emphasis supplied).
At the non-secure hearing, the father testified as follows:
I got up and I said, A, let's go. And then
A came running and then the other daughter got
up trying to follow me too, so I picked up her
and H came running, put on her shoes, and we
all just went to my car and I took off.
The trial court entered an uncontested finding of fact that the
mother told Officer Ingle that the father left the residence with
the parties' three older children. Upon review of the record, DSS
presented no evidence tending to show the children did not leave
voluntarily with the father. The record and transcripts from the
non-secure and adjudicatory hearing support the trial court's
finding that respondent parents engaged in an argument. No
evidence of domestic violence or that the children were put in
danger was presented. The trial court's finding of fact numbered
29 that DSS failed to prove its allegations by clear, cogent, and
convincing evidence is supported by competent evidence. This
assignment of error is overruled.
VII. Conclusion of Law Numbered 3
[4] DSS argues the trial court erred when it entered
conclusion of law numbered 3 because it was not supported by clear,
cogent, and convincing evidence. We disagree.
Conclusion of law numbered 3 states:
3. Although the behavior of the respondent
father on May 18, 2005 was inappropriate, the
petitioner has failed to prove by clear and
convincing evidence that the minor children
are neglected or dependent juveniles, and
therefore the petitions should be dismissed.
(Emphasis supplied).
Under N.C. Gen. Stat. § 7B-101(15) (2005), a neglected
juvenile is defined as:
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. In determining
whether a juvenile is a neglected juvenile, it
is relevant whether that juvenile lives in a
home where another juvenile has died as a
result of suspected abuse or neglect or lives
in a home where another juvenile has been
subjected to abuse or neglect by an adult who
regularly lives in the home.
Under N.C. Gen. Stat. §7B-101(9) (2005), a dependant juvenile is
defined as:
A juvenile in need of assistance or placement
because the juvenile has no parent, guardian,
or custodian responsible for the juvenile's
care or supervision or whose parent, guardian,
or custodian is unable to provide for the care
or supervision and lacks an appropriate
alternative child care arrangement.
As stated above, the court takes evidence, makes findings of fact,
and determines the existence or nonexistence of grounds for
termination. In re R.T.W., 359 N.C. at 548, 614 S.E.2d at 495.
The burden of proof is on DSS in this phase, and the court's
findings must be 'based on clear, cogent, and convincing
evidence.' Id.
The trial court entered uncontested findings of fact that: (1)
the father possessed a gun, but did not point it at the mother or
the children; (2) respondent parents' three oldest children left
the residence with the father, but no kidnapping was reported, and
an Amber Alert was not issued; (3) the district attorney's office
dismissed charges against the father for communicating threats to
and assault by pointing a gun at the mother; and, (4) respondent
was not in possession of a firearm when he was arrested. DSS
failed to prove the minor children were either neglected or
dependent. The trial court properly found DSS failed to prove its
allegations by clear, cogent, and convincing evidence and the minor
children were neither neglected nor dependent. DSS' assignment of
error is overruled.
VIII. Dismissal of Juvenile Petitions
[5] DSS argues the trial court erred when it dismissed all the
Juvenile Petitions at the close of all the evidence at trial. We
disagree.
N.C. Gen. Stat. § 7B-807(a) states, If the court finds that
the allegations have not been proven, the court shall dismiss the
petition with prejudice . . . . (Emphasis supplied). The trialcourt entered the following order: 1. That the petitions in these
matters alleging neglect and dependency are dismissed. After the
trial court found DSS had failed to prove its allegations, the
court was required by statute to dismiss the petitions. N.C. Gen.
Stat. § 7B-807(a). This assignment of error is overruled.
IX. Conclusion
DSS did not satisfy their burden of proving the allegations in
the petitions by clear, cogent, and convincing evidence. The trial
court did not err when it entered findings of fact numbered 26, 28,
and 29. The trial court did not err when it entered conclusion of
law numbered 3. DSS failed to prove its allegations by clear and
convincing evidence. The trial court properly dismissed DSS'
juvenile petitions. The trial court's order is affirmed.
Affirm.
Judges ELMORE and GEER concur.
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