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In the Matter of N. A. (1/26/96), 912 P 2d 1235
Notice: This opinion is subject to correction before
publication in the Pacific Reporter. Readers are
requested to bring errors to the attention of the Clerk
of the Appellate Courts, 303 K Street, Anchorage,
Alaska 99501, phone (907) 264-0607, fax (907) 276-5808.
THE SUPREME COURT OF THE STATE OF ALASKA
IN THE MATTER OF: )
) Supreme Court No. S-6619
S.A. )
DOB: 8/4/89 )
) Superior Court No.
D.A. ) 4FA-91-100 CP
DOB: 7/18/90 )
) O P I N I O N
Minors under the Age of )
Eighteen (18) Years. )
) [No. 4314 - January 26, 1996]
______________________________)
)
N.A., )
)
Appellant, )
)
v. )
)
STATE OF ALASKA, )
)
Appellee. )
______________________________)
Appeal from the Superior Court of the State
of Alaska, Fourth Judicial District,
Fairbanks,
Jay Hodges, Judge.
Appearances: Robert S. Noreen, Michelle
McComb, Law Offices of Robert S. Noreen,
Fairbanks, for Appellant. Karla Taylor-
Welch, Assistant Attorney General, Fairbanks,
Bruce M. Botelho, Attorney General, Juneau,
for Appellee.
Before: Moore, Chief Justice, Rabinowitz,
Matthews, Compton and Eastaugh, Justices.
MATTHEWS, Justice.
EASTAUGH, Justice, with whom COMPTON,
Justice, joins, concurring in part and
dissenting in part.
N.A. appeals the termination of her parental rights
over S.A. and D.A. N.A. originally lost custody of S.A. and D.A.
because she was unable to take care of them due to alcohol abuse.
N.A. later entered alcohol rehabilitation and has been sober for
two years. Nevertheless, the superior court terminated her
parental rights.
This case requires us to resolve a conflict in our
prior decisions concerning the interpretation of AS
47.10.010(a)(2), the statute which governs when a child may be
adjudicated to be a child in need of aid (CINA). We must
determine which subsections of AS 47.10.010(a)(2) permit a CINA
adjudication based on a parent's or caregiver's inability to care
for a child.
I. FACTS AND PROCEEDINGS
N.A. is the mother of two boys, S.A., born August 4,
1989, and D.A., born July 18, 1990. The father of both children
is R.S. S.A. and D.A. are developmentally delayed. Their most
significant delays are in the area of speech. Until 1992, N.A.
abused alcohol. At times, her alcohol abuse made her incapable
of taking care of her children.
The State filed a petition for temporary custody of
S.A. and D.A. in June 1991. The superior court granted the
petition, adjudicated the boys CINA, and committed them to the
custody of the Department of Health and Social Services (DHSS).
Custody was given to the State because N.A. was unable to take
care of the boys at times because of intoxication, and R.S. was
in sexual abuse treatment which prohibited him from having
unsupervised contact with children. S.A. and D.A. were
eventually placed with foster parents.
In November 1992, N.A., again pregnant by R.S., entered
the Dena A. Coy Center for Pregnant Women. N.A. stayed at Dena
A. Coy until June 1993. She received alcohol rehabilitation,
parenting training, and other services there. N.A. stopped using
alcohol near the time she entered Dena A. Coy, and had been sober
for two years at the time of trial.
Sh.A., a female, was born to N.A. at Dena A. Coy in May
1993. N.A. has had continuous custody over Sh.A. Social workers
who worked with N.A. testified that N.A. is a good parent to
Sh.A., and the State admits that N.A. is able to meet Sh.A.'s
needs.
After leaving Dena A. Coy, N.A. utilized numerous,
extensive services to help her maintain sobriety and improve her
parenting skills. She attended Alcoholics Anonymous meetings and
received other services to prevent a relapse into alcohol abuse.
She regularly worked with several counselors on her parenting.
Despite N.A.'s progress, the State filed a petition for
termination of her parental rights over S.A. and D.A. in
September 1993, contending that "[t]he boys' needs are great and
they need highly skilled parents to raise them in a healthy
manner to their potential" and that N.A.'s "gains . . . are not
sufficient to parent the boys." The trial took place in August
1994. R.S. relinquished his parental rights at the beginning of
the trial. N.A. and R.S. were no longer in a romantic
relationship at the time of trial.
At trial, the State presented three types of evidence
in order to make a case that S.A. and D.A. would suffer harm in
N.A.'s care. First, the State introduced testimony that the
boys' progress in overcoming their developmental delays would
lessen under N.A.'s care because N.A. is not able to provide the
boys with "structure and consistency." Second, there was
evidence that N.A. sometimes disciplines the boys by yelling at
them. Third, witnesses for the State testified that they were
concerned that S.A. or D.A. could suffer physical injury as a
result of encountering an environmental hazard in N.A.'s care.
The superior court terminated N.A.'s parental rights over S.A.
and D.A.
II. STANDARD OF REVIEW
Under AS 47.10.080(c)(3), a superior court may
terminate parental rights only "upon a showing in the
adjudication by clear and convincing evidence that there is a
child in need of aid under AS 47.10.010(a)(2) as a result of
parental conduct and upon a showing in the disposition by clear
and convincing evidence that the parental conduct is likely to
continue." The superior court found by clear and convincing
evidence that S.A. and D.A. are children in need of aid under AS
47.10.010(a)(2)(A) and (C) as a result of conduct by N.A. which
is likely to continue. N.A. argues that the superior court erred
in making this finding.
In a CINA case, we will overturn the superior court's
findings of facts if they are clearly erroneous. We will declare
a trial court's findings to be clearly erroneous if a review of
the entire record leaves us with a definite and firm conviction
that a mistake has been made. See In re T.W.R., 887 P.2d 941,
944 (Alaska 1994); K.N. v. State, 856 P.2d 468, 475 (Alaska
1993). Determinations of law are reviewed de novo. E.g.,
Langdon v. Champion, 745 P.2d 1371, 1372 n.2 (Alaska 1987).
III. IMMINENT AND SUBSTANTIAL RISK OF SUBSTANTIAL PHYSICAL HARM
We will consider whether the superior court clearly
erred by adjudicating S.A. and D.A. CINA under AS
47.10.010(a)(2)(C) (subsection (C)) before discussing AS
47.10.010(a)(2)(A) (subsection (A)). A child can be declared
CINA under subsection (C) upon a showing of
the child having suffered substantial
physical harm or if there is an imminent and
substantial risk that the child will suffer
such harm as a result of the actions done by
or conditions created by the child's parent,
guardian, or custodian or the failure of the
parent, guardian, or custodian adequately to
supervise the child[.]
(Emphasis added.) A careful and thorough review of the entire
record leaves us with a definite and firm conviction that the
record cannot support a finding that S.A. and D.A. have suffered
substantial physical harm as a result of parental conduct which
is likely to continue or that there is an imminent and
substantial risk that they will suffer such harm due to conduct
by N.A. which is likely to continue.
The evidence presented by the State that N.A. is unable
to provide her sons with sufficient "structure and consistency"
cannot support a CINA adjudication under subsection (C). The
only consequence that the State's witnesses predicted would flow
from a failure to give S.A. and D.A. the necessary "structure and
consistency" was that the boys would not "meet their potential"
or make the kinds of gains in overcoming their developmental
delays which they would make otherwise. If S.A. and D.A. would
indeed suffer this type of harm under N.A.'s care, the harm would
be gradual and not imminent, and it would not be substantial
physical harm. The State's witnesses did not identify any
concrete physical harms that the boys would suffer as a result of
not being supplied with enough "structure and consistency."
Likewise, the testimony that N.A. sometimes disciplines
S.A. and D.A. by yelling at them cannot justify a CINA
adjudication under subsection (C). According to the State's
witnesses, this manner of disciplining the boys could cause them
to suffer a loss of self-esteem. The possibility of a gradual
loss of self-esteem does not amount to an imminent risk of
substantial physical harm.1
Finally, some of the State's witnesses had concerns
about the physical safety of S.A. and D.A. in N.A.'s care, as the
boys are very active and may enter dangerous places in their
environment if not watched. But the State introduced no evidence
that N.A. was so unaware of potential dangers that it was likely
that S.A. or D.A. would be seriously injured as a result of
encountering an environmental hazard in her care. The State's
witnesses did not testify that the boys were ever in any
immediate danger under N.A.'s care; in fact, there was testimony
that N.A. removed her sons from potentially dangerous situations.
The State only presented testimony that N.A.'s awareness of
possible dangers was not as great as that of the social workers
observing her, and that N.A. was not able to keep her attention
focused on S.A., D.A., and Sh.A. all of the time.2 The record in
this case thus cannot support a finding that S.A. and D.A. would
face an imminent and substantial risk of substantial physical
harm as a result of the possibility of encountering a physical
hazard in N.A.'s care, and the superior court's CINA adjudication
under subsection (C) is reversed.3
IV. ABILITY TO CARE
Since the superior court's CINA adjudication cannot be
upheld under subsection (C), we must determine whether it can be
justified under subsection (A). Subsection (A) permits a child
to be declared CINA as a result of
the child being habitually absent from home
or refusing to accept available care, or
having no parent, guardian, custodian, or
relative caring or willing to provide care,
including physical abandonment by
(i) both parents
(ii) the surviving parent, or
(iii) one parent if the other parent's
rights and responsibilities have been
terminated under AS 25.23.180(c) or AS
47.10.080 or voluntarily relinquished[.]
(Emphasis added.) The superior court's decision that S.A. and
D.A. are CINA under subsection (A) as a result of parental
conduct which is likely to continue is based on a finding that
N.A. cannot provide the care required by the boys and cannot meet
their needs.4 This finding raises the issue of whether a
parent's inability to care for a child can support a CINA
declaration under subsection (A) if the parent is willing to care
for the child.
Our prior decisions conflict in their resolution of
this issue. In In re J.L.F., 828 P.2d 166, 170 (Alaska 1992), we
stated, without analysis: "While a finding of inability to care
would be grounds for jurisdiction under subsection (2)(A), that
finding must also extend to any relatives who are in fact caring
for or willing to assume care." We cautioned, however, that
"adjudication under subsection (2)(A) normally would arise under
abandonment." Id. at 170 n.9. In A.M. v. State, 891 P.2d 815,
824 (Alaska 1995), and In re T.W.R., 887 P.2d 941, 945 (Alaska
1994), we interpreted J.L.F., again without analysis, as meaning
that a CINA adjudication under subsection (A) may be predicated
on a parent's lack of ability to care for a child.
But in F.T. v. State, 862 P.2d 857, 861 (Alaska 1993),
we rejected an argument that inability to care could support a
finding that a child is CINA under subsection (A). We stated,
"AS 47.10.010(a)(2)(A) would support a CINA adjudication only if
[the child] had no parent, guardian, custodian, or relative
caring or willing to provide care. Specifically, the parties'
dispute whether [the parent] was willing to provide care." Id.
The State argued "that [the parent] could not have been willing
to provide care because he was unable to meet [the child's]
needs." Id. We rebuffed this argument and the State's
"conclusion that if a child has needs a parent cannot meet, then
the parent cannot be 'willing to provide care' for that child."
Id. We explained that "the State's conflation of willingness to
care and ability to satisfy needs leads to absurd conclusions."
Id.
We now determine that the approach taken in F.T. is the
correct one, and we hold that a parent's or caregiver's inability
to care for a child cannot support a CINA adjudication under
subsection (A) if the parent or caregiver is willing to care for
the child. Our conclusion is based on the plain language of
subsection (A) and a careful examination of the structure and
purposes of AS 47.10.010(a)(2) as a whole.
The clear language of subsection (A) covers only
willingness to care, not ability to care. Subsection (A) allows
a CINA adjudication if there is no "parent . . . caring or
willing to provide care." (Emphasis added.) Subsection (A) does
not state "having no parent . . . caring and willing to provide
care."
The State has argued that subsection (A) covers ability
to care because AS 47.10.990(1) states, "'care' or 'caring' under
AS 47.10.010(a)(2)(A) . . . means to provide for the physical,
emotional, mental, and social needs of the child." See F.T., 862
P.2d at 861 & n.5; J.L.F., 828 P.2d at 169. However, plugging
the definition in AS 47.10.990(1) into subsection (A) results in
the following: "having no parent . . . providing for the
physical, emotional, mental, and social needs of the child or
willing to provide for the physical, emotional, mental, and
social needs of the child." The statute still would not require
ability to care -- willingness is enough.
An analysis of the structure and purposes of the
entirety of AS 47.10.010(a)(2) shows that while ability to care
is relevant under subsections (B) through (F) of the statute, it
is not relevant under subsection (A), for three main reasons.
First, the State's interpretation of subsection (A) would permit
CINA adjudications based on parenting deficiencies much less
severe than those covered under AS 47.10.010(a)(2)(B)-(F).
Second, unlike subsection (A), subsections (B) through (F) set
clear, specific standards for adjudicating a child CINA based on
a parent's inability to care. Third, permitting ability to care
to be considered under subsection (A) would make subsections (B)
through (F) virtually superfluous.
The full text of AS 47.10.010(a)(2) states:
(a) Proceedings relating to a minor
under 18 years of age residing or found in
the state are governed by this chapter,
except as otherwise provided in this chapter,
when the court finds the minor
. . . .
(2) to be a child in need of aid as a
result of
(A) the child being habitually absent
from home or refusing to accept available
care, or having no parent, guardian,
custodian, or relative caring or willing to
provide care, including physical abandonment
by
(i) both parents
(ii) the surviving parent, or
(iii) one parent if the other parent's
rights and responsibilities have been
terminated under AS 25.23.180(c) or AS
47.10.080 or voluntarily relinquished;
(B) the child being in need of medical
treatment to cure, alleviate, or prevent
substantial physical harm, or in need of
treatment for mental harm as evidenced by
failure to thrive, severe anxiety,
depression, withdrawal, or untoward
aggressive behavior or hostility toward
others, and the child's parent, guardian, or
custodian has knowingly failed to provide the
treatment;
(C) the child having suffered
substantial physical harm or if there is an
imminent and substantial risk that the child
will suffer such harm as a result of the
actions done by or conditions created by the
child's parent, guardian, or custodian or the
failure of the parent, guardian, or custodian
adequately to supervise the child;
(D) the child having been, or being in
imminent and substantial danger of being,
sexually abused either by the child's parent,
guardian, or custodian, or as a result of
conditions created by the child's parent,
guardian, or custodian, or by the failure of
the parent, guardian, or custodian adequately
to supervise the child;
(E) the child committing delinquent acts
as a result of pressure, guidance, or
approval from the child's parents, guardian,
or custodian;
(F) the child having suffered
substantial physical abuse or neglect as a
result of conditions created by the child's
parent, guardian, or custodian.
Under subsections (B) through (F), only serious forms
of parental misconduct can support a CINA adjudication.
Subsection (B) deals with failure to provide needed medical
treatment. Subsection (C) concerns "substantial physical harm"
caused by parental conduct. Subsection (D) addresses sexual
abuse. Subsection (E) is about parental encouragement of
criminal conduct. And subsection (F) speaks of "substantial
physical abuse or neglect." The legislature thus intended for
the State to be able to assume custody of minors only to remedy
severe parenting deficiencies and prevent significant harm to
children.
But the State's reading of subsection (A) would give
the State the power to assume custody over children for much less
serious types of parental misconduct and harm to children. The
State would define ability to care as the ability to provide for
the physical, emotional, mental, and social needs of a child,
relying on AS 47.10.990(1). See F.T., 862 P.2d at 861 & n.5;
J.L.F., 828 P.2d at 169. This interpretation would permit the
State to assume custody over any child who had needs the child's
parents could not meet. Applied to the facts of this case, the
State's interpretation would justify terminating N.A.'s parental
rights on the grounds that S.A. and D.A. would not "meet their
potential" with N.A. because she would not be able to satisfy
their needs for "structure and consistency."
The better way to interpret subsection (A) is in
accordance with its plain intent -- subsection (A) is designed to
deal with situations where the parent abandons the child, the
child runs away, or the child refuses to accept the parent's
care. The seriousness of these kinds of situations is congruent
with the types of circumstances covered by subsections (B)
through (F).
Unlike subsection (A), which focuses on a parent's
willingness to care and does not explicitly give superior courts
guidance in determining what constitutes inability to care,
subsections (B) through (F) contain specific standards for
adjudicating a child CINA and terminating parental rights based
on a parent's or caregiver's5 inability to care. Under
subsection (B), inability to provide needed medical treatment can
support a CINA finding. Subsection (C) covers inability to care
that causes, or creates an imminent and substantial risk of,
substantial physical harm. Subsection (D) deals with sexual
abuse or a danger of sexual abuse caused by a parent's inability
to supervise a child or by other conditions created by the
parent. Subsection (E) permits a CINA adjudication if a parent
approves the commission of delinquent acts by the child.
Subsection (F) concerns "substantial physical . . . neglect."
Reading subsection (A) as permitting a CINA
adjudication based on inability to care would make all these
parts of subsections (B) through (F) superfluous. A superior
court would not have to determine whether the requirements in
subsections (B) through (F) were met if the court could easily
declare a child CINA upon a general finding of inability to care
under subsection (A).6 Such a result would violate basic
principles of statutory construction. See, e.g., Journey v.
State, 895 P.2d 955, 959 n.10 (Alaska 1995) ("as a general rule,
statute should be construed so that effect is given to all its
provisions and no part is inoperative or superfluous, void or
insignificant") (citing Homer Elec. Ass'n v. Towsley, 841 P.2d
1042, 1045 (Alaska 1992)).
For these reasons, we overrule A.M., 891 P.2d at 824,
T.W.R., 887 P.2d at 945, and J.L.F., 828 P.2d at 170, to the
limited extent that those cases stated that ability to care may
be considered under subsection (A). We continue to follow the
central teaching of those cases -- parental rights may be
terminated because a parent is unable to care for a child.7 We
only clarify that superior courts should be guided by the
specific, explicit standards of subsections (B) through (F) in
determining whether a parent or caregiver is able to care for a
child.
Since a child may not be adjudicated CINA under
subsection (A) based on a parent's inability to care for the
child if the parent is willing to care for the child, we overturn
the superior court's finding that S.A. and D.A. are CINA under
subsection (A). We realize that our opinions in A.M., J.L.F.,
and T.W.R. may have led some superior courts to make CINA
findings solely under subsection (A) and not address subsections
(B) through (F) in cases where the evidence would support a CINA
adjudication under subsections (B) through (F). If this were
such a case, the proper remedy would be to remand for
consideration of whether the children are CINA under the
appropriate provision(s) in subsections (B) through (F).
However, the record in this case cannot support a CINA
adjudication under subsections (B) through (F), meaning that the
termination of N.A.'s parental rights must be reversed.8
V. CONCLUSION
We hold that a child may not be adjudicated CINA under
AS 47.10.010(a)(2)(A) on the grounds that the child's parent or
caregiver is unable to care for the child if the parent or
caregiver is willing to care for the child. A parent's or
caregiver's ability to care may be considered under the specific,
explicit standards of AS 47.10.010(a)(2)(B)-(F). We thus
overturn the superior court's determination that S.A. and D.A.
are CINA under AS 47.10.010(a)(2)(A). We also conclude that the
superior court's holding that S.A. and D.A. are CINA under AS
47.10.010(a)(2)(C) is erroneous. The record cannot support a
CINA adjudication under any other subsection of AS
47.10.010(a)(2). The termination of N.A.'s parental rights is
REVERSED.
EASTAUGH, Justice, with whom COMPTON, Justice, joins,
concurring in part and dissenting in part.
I agree with Parts I, II and III of the court's
opinion.
I disagree with Part IV of the court's opinion because
I conclude that ability to care is a relevant consideration under
AS 47.10.010(a)(2)(A). I nonetheless agree that on the facts
presented here the trial court erred in relying on AS
47.10.010(a)(2)(A) as one basis for CINA jurisdiction.
Consequently, the result reached by this court is appropriate.
The court announces three main grounds for its
conclusion that ability to care is irrelevant to AS
47.10.010(a)(2).9 Opinion at 11. First, it asserts that a
contrary interpretation of subsection (A) "would permit CINA
adjudications based on parenting deficiencies much less severe"
than those covered under subsections (B) through (F). Second, it
asserts that unlike subsection (A), subsections (B) through (F)
set "clear, specific standards for adjudicating a child CINA
based on a parent's inability to care." Third, it argues that
considering ability to care under subsection (A) "would make
subsections (B) through (F) virtually superfluous." Opinion at
11-12.
In my view, these grounds are unconvincing. Both as a
matter of statutory construction and common sense, ability to
care is and must be relevant to an inquiry under subsection (A).
Alaska Statute 47.10.010(a)(2) contains six subsections
which state alternative grounds for finding a child in need of
aid. The grounds and subsections are independent, but are not
necessarily discrete because more than one ground may apply in a
given case.
It is first essential to recognize the evil at which
subsection (A) is aimed. Subsection (A) is directed at two basic
problems: (1) conduct of the child which deprives the child of
available care ("the child being habitually absent from home,"
i.e., running away, or "refusing to accept available care"); and
(2) want of a person (parent, or guardian, custodian, or
relative) to provide care to the child ("the child . . . having
no parent . . . caring or willing to provide care"). Subsection
(A) focuses on the two situations in which the child is deprived
of care, the first when the child's acts or omissions prevent
delivery of care, and the second when there is no one to deliver
care. Subsection (A) thus addresses two different sources of a
single fundamental evil: a failure of care for the child. If
the child does not receive the necessary care, there has been a
failure of care. Comparison of subsection (A) with
subsections (B) through (F) confirms the legislative scheme.
Although those other subsections address what might initially
seem to be relatively more specific and harmful hazards, the
legislature put subsection (A) on an equal footing with the other
subsections as a basis for adjudicating a child in need of aid.
We must assume that the legislature considered hazards posed by a
failure of care to be equivalent to those addressed in
subsections (B) through (F). It is not for us to make explicit
or implicit value judgments about whether a child deprived of
care is entitled to less protection than one placed in imminent
danger. The child deprived of care may ultimately suffer as much
as the child who is a victim of more violent but less insidious
conditions, and the arrangement of AS 47.10.010(a)(2) suggests
that the legislature recognized this.
Subsection (A) does not require that the child be in
grave danger. Indeed, under some circumstances a runaway child
might fare better outside the home than in it. The subsection
specifies physical abandonment as an example of a deprivation of
care sufficient to invoke the subsection, but does not require
conduct that dramatic for CINA jurisdiction to be appropriate.
The physical abandonment example does suggest, however, that the
legislature was concerned about relatively serious failures of
care, in which the ostensible caregiver has functionally, if not
physically, abandoned the child.
Subsection (A) thus contemplates two alternative
grounds for finding the child to be in need of aid, one
attributable to the child who runs away or refuses care, and the
other attributable to persons who should or could care for the
child. Common to both grounds is the notion that there will be a
fundamental deprivation of care. This notion is important.
Notwithstanding past failures, CINA status under subsection (A)
is not warranted unless the child will be fundamentally deprived
of care in the future. A CINA adjudication therefore requires
the court to predict as best it can whether the present failure
of care is resolved, and whether the child will henceforth get
the necessary care.
It necessarily follows that subsection (A) deals with
the delivery and the deprivation of care. That conclusion is
irreconcilable with this court's reading of subsection (A),
because this court appears to think that willingness to provide
care can substitute for delivery of care. Opinion at 11. To the
contrary, subsection (A) is concerned with performance, not
intentions.
The legislature provided a definition of "care" and
"caring" to be applied in disputes under AS 47.10.010(a)(2)(A):
"'care' or 'caring' under AS 47.10.010(a)(2)(A) . . . means to
provide for the physical, emotional, mental, and social needs of
the child." AS 47.10.990(1). We must apply this definition
here. The court's contention -- that AS 47.10.010(a)(2)(A)
merely requires that an eligible person be willing to care for
the child regardless of ability to provide care successfully --
ignores both the express words of this definition, and its
implications.
The court reads the clause "willing to provide care" as
though willingness is independent of a performance standard, and
simply turns on the willingness -- the good intentions -- of a
would-be provider. That reading of the statute is conceptually
erroneous. When the definition found in ' 990(1) is inserted
into AS 47.10.010(a)(2)(A), CINA jurisdiction exists when there
is no eligible person who is presently providing for the child's
needs and there is no other eligible person willing to provide
for those needs. The phrases "caring" and "willing to provide
care" are not alternatives; instead, they express two conditions
which must both exist for CINA jurisdiction. Jurisdiction exists
if the child's needs (1) are not currently being met (no one is
now "caring" for the child), and (2) will not be met by other
eligible persons (no one is "willing to provide care" in the
future). Subsection (A) does not make good intentions a
substitute for good care. Mere "willingness" is not an
acceptable alternative to "caring," and the legislature did not
intend it to be. A would-be provider who is unable to provide
care does not have the willingness subsection (A) contemplates.
The overriding concern expressed in AS 47.10.010(a)(2), including
subsection (A), is the child's receipt of care. Thus, the
"willingness" which the statute demands must be accompanied with
the ability to provide care successfully.
The court interprets the clause "caring or willing to
provide care" as though "caring" and "willing" are parallel
alternatives. That interpretation ignores the evil addressed by
subsection (A), the deprivation of care. It also overlooks the
legislature's scheme, that a child is in need of aid if there is
a present failure of care, and if care will not be provided by an
eligible person in the future. The word "willing" in the clause
"willing to provide care" must be understood in the context of
CINA disputes. Such cases arise because the present custodian
has failed to deliver the necessary care; nonetheless, the child
is not in need of aid if some other eligible person stands ready
to deliver that care in the future. The element of "willingness"
simply conveys the other person's commitment to deliver care.
A mere expression of good intent is insufficient if the
care will not in fact be provided. The person who is well-
meaning, but hopelessly incapable, may be "willing" in the
broadest sense, but is not "willing to provide care" in the sense
required by subsection (A). The clause "willing to provide care"
is intended to guarantee that care will be delivered in the
future, and the inability of the prospective caregiver is just as
relevant to the adjudication as the present ability of the
current custodian is.
The structure and purpose of AS 47.10.010(a)(2) confirm
this reading. In each of its subsections, AS 47.10.010(a)(2)
invites inquiry into whether a child's "physical, emotional,
mental, and social needs" are actually being met. These
subsections contain objective performance standards10 because good
intentions alone do not ensure that a child's "physical,
emotional, mental, and social needs" are satisfied. Thus the
structure and purpose of AS 47.10.010(a)(2) preclude a conclusion
that the legislature intended to withhold CINA jurisdiction when
a parent has good intentions, but is responsible for conditions
that endanger a child.
Furthermore, the legislature could not have intended
that a person who is unable to care is "willing to provide care."
Consider a parent whose fundamental lack of mental capacity
results in an inability to meet the child's normal needs, and
thus in a lack of "caring" as that word is used in subsection
(A). If the court were correct, that parent could defeat CINA
jurisdiction simply by professing that she/he is "willing" to
provide care despite her/his demonstrated inability to do so.
The child would then return to the parent, whose inability would
again be demonstrated, again placing the child in jeopardy.
Assuming the conditions created by the parent then put the child
in substantial danger, DHSS would again try to intervene to
protect the child. Either the superior court would find CINA
jurisdiction to protect the child (possibly under subsection (A)
on an abandonment theory or under subsection (C) if the harm were
"imminent"), or the willing parent could again defeat
jurisdiction at continuing risk to the child. The legislature
could not have intended the latter result, and the former is an
exercise in judicial circuity that needlessly exposes the child
to harm.
Likewise, consider the example of a relative who
professes a willingness to care for the child. According to this
court, the superior court could not assert jurisdiction over the
child, regardless of the relative's proven inability to provide
care in the future. However, if the relative took custody and
subsequently failed to "provide for the physical, emotional,
mental, and social needs of the child," the relative would not be
"caring" for the child under subsection (A). The superior court
could then assert CINA jurisdiction (unless, of course, some
other well-meaning but incapable relative expressed a willingness
to provide care). It makes more sense to allow the court to
consider whether the parent or relative is able to provide care
before he or she obtains custody on the sole basis of professed
willingness to provide care. It makes no sense to deny CINA
jurisdiction where an eligible adult is willing -- but
indisputably unable -- to provide care if the court will have to
take jurisdiction once the well-meaning but incapable custodian
inevitably creates conditions which jeopardize the child.11
The court should consequently hold that a trial court
may consider relevant the would-be custodian's ability to care in
determining whether a child is in need of aid under AS
47.10.010(a)(2)(A).
The court first reasons that this interpretation of
subsection (A) would permit CINA adjudications based on parenting
deficiencies "much less severe" than those covered under
subsections (B) through (F). Opinion at 11, 13-14.
This reason is unpersuasive. It erroneously assumes
that, in the eyes of the legislature, the evil addressed in
subsection (A) is inherently less severe than those evils
addressed in subsections (B) through (F). The legislature made
subsection (A) an independent basis for asserting CINA
jurisdiction. It did not require that the child be in imminent
danger for adjudication under subsection (A). This court fails
to recognize that the legislature considered the failure to
provide care for the child to be an evil just as deserving of
intervention as those hazards addressed in subsections (B)
through (F). The court thus errs in assuming the legislature did
not intend the ostensibly "much less severe" deficiency of
failure of care to be the basis for intervention.12
The second reason announced by the court is also
unpersuasive. The court finds inability to care to be irrelevant
to subsection (A) because subsections (B) through (F) contain
specific standards for CINA jurisdiction based on inability to
care. Opinion at 12, 14-15. That subsections (B) through (F)
arguably set "clear, specific standards" for CINA adjudications
does not mean that the court can ignore subsection (A). I do not
see the dichotomy the court perceives between subsection (A) and
subsections (B) through (F). Just because acts or omissions of
parents or caregivers may fall within subsections (B) through (F)
does not mean that inability to care is irrelevant to subsection
(A). Further, I do not agree that subsection (A) is without
standards. "Care" and "caring" are defined by AS 47.10.990(1),
and the concepts addressed in subsection (A) are readily
understood.
The third reason, the danger subsection (A) would make
the other subsections "virtually superfluous," is easily avoided
by recognizing that subsection (A) is directed at failure of
care. Subsection (A) encompasses that specific evil, as
distinguished from the acute hazards addressed by the other
subsections. The situations addressed in subsection (A) are not
necessarily the same as those addressed in subsections (B)
through (F). More than one subsection may apply in any given
case, but that does not mean the other subsections are rendered
superfluous or that the legislature intended the reading this
court now imposes on the statute.
Any possible superfluity is avoided by limiting
subsection (A) in a manner consistent with its terms. The
legislature could not have expected that a mere best interests
analysis would establish CINA status under subsection (A).
Further, the specific circumstances noted in subsection (A)
(i.e., running away, physical abandonment) illustrate the
magnitude of the sort of failure of care the legislature intended
to address. Further, the reference to "available care" implies
that the legislature did not intend to require perfect care.
This court previously gave content to subsection (A) and limited
its application by appropriately rejecting the equivalent of a
best interest analysis during a CINA adjudication. F.T. v.
State, 862 P.2d 857 (Alaska 1993). In that case, the State
argued that a father could not have been "willing to provide
care" because he was unable to meet his child's special needs due
to the child's severely emotionally disturbed condition. Id. at
860-61. I agree with that result. In those circumstances, no
parent could be expected to "cure" the child or meet other than
the child's most basic needs. The holding in F.T. appropriately
limits CINA adjudications under subsection (A). This limitation
prevents subsection (A) from swallowing up the other subsections.
Unfortunately, in my view, the court in F.T. then
proceeded to expand on this narrow and appropriate holding. It
rejected an argument that inability to care could support a
finding that a child is in need of aid under AS
47.10.010(a)(2)(A). It stated, "AS 47.10.010(a)(2)(A) would
support a CINA adjudication only if [the child] had no parent,
guardian, custodian, or relative caring or willing to provide
care. Specifically, the parties' [sic] dispute whether [the
father] was willing to provide care." Id. at 861. DHSS argued
"that [the father] could not have been willing to provide care
because he was unable to meet [the child's] needs." Id. This
court rejected that argument and DHSS's "conclusion that if a
child has needs a parent cannot meet, then the parent cannot be
'willing to provide care' for that child." Id. The court stated
that
the State's conflation of willingness to care
and ability to satisfy needs leads to absurd
conclusions. By the State's logic, the
parent of any child with an incurable disease
is not willing to care for that child, since
by definition the parent will not be able to
meet the child's medical need for a cure.
Id. The F.T. opinion reasoned that inability to care was
insufficient to support a finding that a child is in need of aid
under subsection (A). The question actually presented there was,
in my view, substantially narrower than this court's broad
language would suggest.
The actual holding in F.T. is nonetheless correct, and
instructive. The ability of a parent or relative to provide care
should be compared to a normal level of parental fitness. For
example, if no person could successfully provide the care
required to cure an incurably-ill child, general parental fitness
would nonetheless be sufficient to defeat jurisdiction under AS
47.10.010(a)(2)(A). For jurisdiction to be found under
subsection (A), the inability to care would have to lead to a
harm or a threat of harm of a gravity comparable to that
presented by the circumstances specified in other parts of AS
47.10.010(a)(2).13 See Rosenberg v. Smidt, 727 P.2d 778, 786 n.18
(Alaska 1986) (applying the principle of statutory construction
that "the meaning of doubtful words may be determined by
reference to their association with other associated words and
phrases").14 That comparison, of course, requires recognition
that a failure of care under subsection (A) could be sufficiently
grave in the eyes of the legislature to justify intervention as a
matter of social policy.
According to the court, the State's reading of
subsection (A) in this case would permit the State to assume
custody over "any child who had needs the child's parents could
not meet." Opinion at 13. As noted above, I agree that such a
reading would be too broad. That does not mean, however, that
this court's reading is correct.
The court argues that the better way to interpret
subsection (A) is "in accordance with its plain intent . . . ."
Opinion at 14. I agree. I read subsection (A), however, to
express a different intent.
Because the court misinterprets subsection (A), it
erroneously concludes that inability is irrelevant to a CINA
adjudication under that subsection. To repeat, the inability to
care is relevant to both conditions which have to be met under
subsection (A) in a case like this. There must first be no
parent or other eligible caregiver who is in fact "caring" at
present for the child, i.e., there must be a present failure of
care. Second, there must be no other parent or caregiver
"willing to provide care" if the child's custody were to be
changed to some other eligible caregiver. The court erroneously
reads "caring" and "willing to provide care" to be two separate
alternatives. It reads willingness as a substitute for ability.
Its reading fails to distinguish between the status quo and the
future. Assuming the current caregiver is presently failing to
provide the necessary care, a CINA adjudication is nonetheless
inappropriate if some other eligible caregiver is able to provide
care in the future. Willingness alone is no substitute for an
ability to perform. The court looks at willingness in isolation,
and fails to give appropriate weight to the clause "to provide
care."
For these reasons, this court should not overrule its
prior opinions in which it found inability to provide care to be
relevant to a subsection (A) inquiry. See A.M. v. State, 891
P.2d 815, 824 (Alaska 1995); In re T.W.R., 887 P.2d 941, 945
(Alaska 1994); In re J.L.F., 828 P.2d 166, 170 (Alaska 1992). I
would consequently disavow the language in F.T., 860 P.2d at 860,
by which the court rejected an argument that inability to care
could support a finding that a child was CINA under subsection
(A). I would not overrule the explicit holding in F.T.
In the case now before us, the record does not warrant
a finding that S.A. and D.A. are CINA under AS
47.10.010(a)(2)(A), because the facts do not justify a conclusion
that N.A. was, at the time of the trial, unable or unwilling to
provide the kind of care contemplated under subsection (A). I
consequently agree that the termination of N.A.'s parental rights
should be reversed.
_______________________________
1 The record does not contain evidence that N.A.'s
yelling amounts to severe emotional abuse of the sort that could
support a CINA adjudication under AS 47.10.010(a)(2)(B), which
permits a CINA finding as a result of
the child being in need of medical treatment
to cure, alleviate, or prevent substantial
physical harm, or in need of treatment for
mental harm as evidenced by failure to
thrive, severe anxiety, depression,
withdrawal, or untoward aggressive behavior
or hostility toward others, and the child's
parent, guardian, or custodian has knowingly
failed to provide the treatment.
(Emphasis added.)
2 Three of the State's witnesses testified about possible
safety risks to the boys with N.A. DHSS social worker Paula
Bettano Everts stated that she had safety concerns for the boys,
as "the boys are very easy victims because they can't talk," and
"the boys' behavior is very unpredictable." Everts expounded
that the boys run around a lot and could encounter a physical
danger in their environment because N.A. is unable to focus her
attention on them all of the time.
Connie Kind, a family consultant who worked with N.A.
on parenting skills, stated that "there . . . could be some
safety issues" if S.A. and D.A. were placed with N.A. Kind
explained that at times she feared that the boys would enter
places that were not safe. But Kind also stated that she never
saw the boys in "any immediate danger" while under N.A.'s care,
and acknowledged that she never saw N.A. "expose her sons to
anything that would put them in physical danger while she was
with them." Kind elaborated that her own awareness of potential
safety risks was greater than N.A.'s and that Kind "was quicker
to react than [N.A.] was sometimes to [potential] dangers."
Lillian Coleman, a counselor who worked with N.A.,
testified that S.A. and D.A. require constant supervision and at
times engage in behavior that raises concerns about their safety.
Coleman also testified, however, that N.A. removed the boys from
danger when they engaged in risky behavior, and that she never
saw N.A. do anything to endanger S.A. and D.A. When asked
whether the boys would be at risk if placed in N.A.'s care,
Coleman responded, "I don't know."
In addition, Carolyn Cyr, a therapist at Dena A. Coy,
testified that N.A. never did anything to jeopardize the safety
of her sons during visits. Ruth Evans, one of N.A's counselors,
stated that the boys would be safe with N.A. N.A. herself
testified that supervising S.A. and D.A. required preventing them
from "getting into stuff . . . like the medicine cabinet, and
running out to the street, and . . . play[ing] with anything
that's dangerous, like tools, knives."
3 N.A.'s past alcohol abuse also cannot support the
superior court's finding that S.A. and D.A. are CINA under
subsection (C) as a result of conduct by N.A. which is likely to
continue. N.A. no longer uses alcohol. Cf. In re R.K., 851 P.2d
62, 66-67 (Alaska 1993) (reversing superior court's termination
of parental rights where father had once neglected his children,
apparently because of alcohol or drug use, but claimed to no
longer be using alcohol or drugs; explaining that father's
substance use could be monitored).
4 The superior court stated in its written decision:
The evidence demonstrates clearly and
convincingly, however, that [N.A.] is not
able to understand and meet the children's
significant needs for structure, stability,
consistency and nurturing.
The court finds by clear and convincing
evidence that the parental conduct which
caused the children named above to be
children in need of aid is likely to continue
if [N.A.]'s parental rights are not
terminated. [N.A.] has never demonstrated an
understanding of or ability to meet her
children's needs.
5 If a parent intends to place a child with a caregiver
who would harm the child as proscribed in subsections (B) through
(F), the child can be declared CINA under the appropriate
provision(s) of subsections (B) through (F).
6 For example, in this case, while the superior court did
declare S.A. and D.A. CINA under subsections (A) and (C), its
findings appear to fit in mainly under the State's interpretation
of subsection (A). And we are aware of at least two other
pending termination of parental rights appeals where the superior
court adjudicated children CINA only under subsection (A),
without considering other subsections, even though the records in
those cases arguably could have supported CINA adjudications
under subsections (C) or (F).
7 The results we reached in A.M., T.W.R., and J.L.F.
would not change under our holding in this case. In A.M., the
superior court's termination of parental rights was based solely
on a finding that the father had abandoned his children. 891
P.2d at 820. We ruled that the abandonment finding was clearly
erroneous. Id. at 824. We remanded the case for consideration
of whether the father was able to care for the children. Id. at
824-25. We noted:
The superior court specifically found,
beyond a reasonable doubt, that A.M.'s
daughter was likely to suffer sexual abuse if
placed in his custody; that both children
were likely to suffer physical abuse
resulting from A.M.'s domestic violence; and
that both were likely to suffer physical
deprivation due to A.M.'s inability to meet
their needs on a consistent, ongoing basis.
Id. at 825. These findings would support CINA adjudications
under subsections (D), (C), and (F), respectively.
In T.W.R., we affirmed the superior court's termination
of parental rights and finding that the mother was unable to care
for her children. 887 P.2d at 945. In that case, the record
showed and the superior court specifically found that the
children were CINA under subsection (B) as a result of the
mother's failure to provide them with needed medical attention.
Id. at 946.
In J.L.F., we refused to uphold a termination of
parental rights where the superior court relied only on
subsection (A). 828 P.2d at 169-70. We noted that the superior
court's findings "fit well under subsection (2)(C)." Id. at 170.
We remanded for determination of whether parental rights could be
terminated under subsection (C). Id.
8 Our resolution of the AS 47.10.010(a)(2) issues makes
it unnecessary to consider the other arguments made on appeal by
N.A., who is an Alaska Native. We doubt, however, that the
evidence presented by the State in this case satisfied the
requirements of Alaska Child in Need of Aid Rule 18(c)(2), which
prohibits termination of the parental rights of a Native parent
unless the evidence shows beyond a reasonable doubt that custody
of the child by the Native parent will likely cause the child to
suffer serious emotional or physical damage. See also 25 U.S.C.
' 1912(f) (1988); K.N. v. State, 856 P.2d 468, 474 (Alaska 1993).
9 AS 47.10.010 provides in pertinent part:
(a) Proceedings relating to a minor
under 18 years of age residing or found in
the state are governed by this chapter,
except as otherwise provided in this chapter,
when the court finds the minor
. . . .
(2) to be a child in need of aid as a
result of
(A) the child being habitually absent
from home or refusing to accept available
care, or having no parent, guardian,
custodian, or relative caring or willing to
provide care, including physical abandonment
by
(i) both parents,
(ii) the surviving parent, or
(iii) one parent if the other parent's
rights and responsibilities have been
terminated under AS 25.23.180(c) or AS
47.10.080 or voluntarily relinquished.
10 The other jurisdictional bases contemplated by
subsection (A) and in subsections (B) through (F) concern the
quality of care the child actually receives or is likely to
receive.
11 The specification of "physical abandonment" in
subsection (A) does not suggest it is the only circumstance in
which there is no eligible person caring or willing to provide
care for the child. Subsection (A) uses the word "including" to
introduce physical abandonment as one such circumstance.
According to Webster's Third New International Dictionary 1142
(1969), "include" means "to place, list, or rate as a part or
component of a whole or of a larger group, class, or aggregate."
12 Although the hazards specifically addressed in
subsections (B) through (F) might at first glance appear
substantially more severe, and therefore more deserving of
legislative attention and DFYS intervention than the failure of
care addressed in subsection (A), the court's assumption that
this is so puts more reliance on labels than on the words of the
statute. It also reflects a policy decision which appears to
have been made by the legislature, and which is beyond our
province to alter. Further, I am not convinced that a failure of
care for children is any less damaging to their long-term well-
being than some of the hazards which are the subject of
subsections (B) through (F). See generally Oliver C.S. Tzeng &
Jamia Jacobsen, Sourcebook for Child Abuse and Neglect 53-77
(1988); Henry B. Biller & Richard S. Solomon, Child Maltreatment
and Paternal Deprivation 14-20 (1986); Harold P. Martin, Abused
Children - What Happens Eventually, in Child Abuse: A Community
Concern 154-69 (Kim Oates ed., 1984); Vincent J. Fontana &
Douglas J. Besharov, The Maltreated Child (1979). Therefore, not
only is the court potentially making value judgments reserved for
the legislature, it may well be reaching erroneous conclusions.
13 Subsection (A) itself specifies three different
circumstances in which such a harm is present or threatened: the
child is habitually absent from the home, the child refuses to
accept available care, and the child is physically abandoned. AS
47.10.010(a)(2)(A). As discussed above, "physical abandonment"
is not the exclusive basis for determining under subsection (A)
that there is no eligible person "caring or willing to provide
care" to the child. See supra, note 8. For example, a parent
who remains in the child's immediate vicinity may not have
physically abandoned the child, but may have through inability or
disinterest so ignored the child's needs as to have
constructively abandoned the child.
The other circumstances specified by AS 47.10.010(a)(2)
in which such harm is present or threatened are: the child's not
having received necessary medical treatment because of a parent's
knowing failure to provide it (subsection (B)); the child's
having suffered, or facing an imminent and substantial risk of
suffering, substantial physical harm as a result of a parent's
acts or omission (subsection (C)); the child's having been, or
being in imminent and substantial danger of being, sexually
abused by a parent or as a result of parental neglect or
facilitation of the abuse (subsection (D)); the child's
committing delinquent acts as a result of parental pressure,
guidance, or influence (subsection (E)); and the child's having
suffered substantial physical abuse or neglect as a result of
conditions created by the parent (subsection (F)).
14 Requiring that the inability to care present a harm or
threat of harm as serious as those reflected in the other
circumstances enumerated in the subsections of AS 47.10.010(a)(2)
ensures that those subsections are not rendered superfluous. See
Journey v. State, 895 P.2d 955, 959 n.10 (Alaska 1995)
(explaining that "as a general rule, statute should be construed
so that effect is given to all its provisions and no part is
inoperative or superfluous, void or insignificant") (citation
omitted).