(Cite
as: 122 Cal.App.4th 235, 19 Cal.Rptr.3d 490)
Court
of Appeal, Fourth District, Division 1, California.
In
re MERRICK V. et al., Persons Coming Under the Juvenile
Court Law.
San
Diego County Health and Human Services Agency, Plaintiff and Respondent,
v.
Alice
E., Defendant and Appellant.
No.
D043261.
Sept.
13, 2004.
Rehearing
Denied Oct. 12, 2004.
Review
Denied Dec. 1, 2004.
**494
Sharon S. Rollo, under appointment by the Court of Appeal,
Chatsworth, for Defendant and Appellant.
John J. Sansone, County Counsel, Susan Strom, Chief Deputy County
Counsel, and Caitlin E. Rae, Deputy County Counsel, for Plaintiff
and Respondent.
Christopher Blake, under appointment by the Court of Appeal, San
Diego, for Minors Merrick V. and Morrigan V.
Robert Wayne Gehring, under appointment by the Court of Appeal,
for Minor James V.
AARON, J.
*241
Alice E. is the maternal grandmother and guardian of twin
brothers, Merrick V. and Morrigan V. and their half brother,
James V. The boys were declared dependents of the juvenile
court because of neglect. Alice appeals
orders (1) finding the Indian Child Welfare Act (ICWA) (25
U.S.C. § 1901,
et seq.) did not apply, (2) terminating her guardianship, and
(3) denying her de facto parent status. Alice also claims
her trial counsel was ineffective.
We agree that the orders finding ICWA did not apply
must be reversed in the twins' cases because ICWA's notice
requirements were not followed; we *242
remand to the juvenile court with directions to reconsider the
issue after proper notice has been given. We reject Alice's
claims pertaining to the other orders of the juvenile court
and affirm.
I
FACTUAL
AND PROCEDURAL BACKGROUND
James, born in January 1991, and Merrick and Morrigan, born
in December 2000, are the sons of Rebecca V., who
has a long history of drug abuse and homelessness. Rebecca
had a positive drug toxicology when the twins, Merrick and
Morrigan, were born. On August 12, 2002, the probate department
of the superior court issued letters of guardianship, naming Alice
the legal guardian of James, Merrick and Morrigan.
**495
On January 19, 2003, Chula Vista police officers found two-year-old
Merrick and Morrigan wandering in the street unattended, wearing nothing
but dirty diapers. The officers could not locate the twins'
parents and took them to Polinsky Children's Center, where they
tested positive for methamphetamine and
marijuana. On January 23, the San Diego County Health and
Human Services Agency (Agency) filed dependency petitions on behalf of
the twins, alleging (1) they were at substantial risk because
of the failure of their parent or legal guardian to
provide them with food, clothing and shelter, and (2) they
had been left without any provision for support. (Welf. &
Inst.Code, § 300,
subds. (b) & (g).) [FN1]
The petitions identified Rebecca as the person from whom the
children were removed. Rebecca was listed as the twins' mother;
Alice was not named in the petitions.
FN1.
All statutory references are to the Welfare & Institutions Code
unless otherwise specified.
James had been staying at the residence of one of
his mother's friends. He had insect bites on his chest
from sleeping on the floor. School officials told social workers
that James's attendance was inconsistent and that he was late
for school four out of five days per week. James
also arrived at school at odd hours, such as 5:00
a.m., and he had been seen on the roof of
the cafeteria. James was taken to Polinsky Children's Center on
January 31, 2003.
James told a social worker he lived with his mother
and sometimes with his grandmother. Alice told a social worker
that she helped care for the boys. Alice also told
the social worker that when Rebecca lived with her, Rebecca
used
drugs and was "in and out of the home all
of the time" and often slept all day long. Alice
informed the social worker that she had applied for guardianship
of the boys because Rebecca neglected them, but that she
had not followed through with the application process.
*243
On February 5, 2003, Agency filed a dependency petition on
behalf of James, alleging he was at substantial risk because
of the failure of his parent or legal guardian to
provide him with food, clothing and shelter, and his siblings
had been neglected. (§
300, subds.(b) & (j).) The petition identified Rebecca as James's
mother; Alice was not named in James's petition.
Alice said she had cared for the children until a
week before their removal, when she returned them to Rebecca's
care because she was suffering health problems. Rebecca told the
social worker that on the day the twins were found
wandering in the street, she had left them with a
friend while she went to pick up their clothing at
another friend's apartment.
On February 11, 2003, at the dispositional hearing for Merrick
and Morrigan, neither Rebecca nor Alice was present. The court
sustained the petitions filed on behalf of Merrick and Morrigan
and placed them in a licensed foster home. Rebecca appeared
at a special hearing for the twins the following month.
The court ordered six months of reunification services for Rebecca.
On March 11, 2003, Rebecca appeared in court and submitted
to the jurisdiction of the juvenile court as to James.
Through her attorney, Rebecca informed the court
that she might have some American Indian heritage, specifically the
Yaqui Indian Tribe. The court determined that the ICWA did
not apply, but directed Agency to send notice to the
Yaqui Tribe and the Bureau of Indian Affairs (BIA). The
court ordered Rebecca to enroll in the Substance Abuse Recovery
Management System (SARMS), the court's drug treatment case management program,
and to comply with **496
her case plan. James was placed in a licensed foster
home.
On June 6, 2003, Alice wrote a letter to the
court in which she expressed her concerns about James's foster
home placement. In the letter, Alice stated that she was
the legal guardian of James, Merrick and Morrigan. On June
10, Alice wrote another letter to the court stating that
she had had custody of James for the last three
years and that she had had custody of the twins
since their birth. Alice said the boys were visiting their
mother at the time they were picked up by authorities.
Enclosed with Alice's letter was a copy of the letters
of guardianship issued by the probate court, appointing Alice legal
guardian of the three children effective August 12, 2002.
On June 10, 2003, at a SARMS review hearing, after
having received Alice's letter and the guardianship papers, the court
directed the social worker to evaluate Alice's home for placement
and visitation purposes, and set a special hearing on the
matter for July 1.
After conducting its investigation, Agency recommended that the three boys
remain
placed in their foster homes. Agency reported that Alice, who
*244
shared a two-bedroom apartment with adult friends, was on temporary
disability due to stress. Alice told a social worker she
had sent the children back to live with Rebecca in
January 2003 because Alice was suffering from bronchitis, high blood
pressure and chest pains. Since Alice had earlier told a
social worker that Rebecca had a long history of drug
abuse, it appeared that she had decided to return the
children to Rebecca's care despite knowing Rebecca used drugs. Agency
concluded that the children should not be placed with Alice
because (1) she did not have suitable housing for them,
(2) the twins were very active and required intensive supervision,
(3) it was questionable whether Alice could care for the
children in view of her health problems, and (4) Alice
had returned the children to Rebecca knowing Rebecca abused drugs,
thereby placing them at risk. On July 1, the court
received Agency's report. The court took no action other than
to direct Agency and the children's counsel to investigate whether
the children's educational and medical needs were being met.
On July 18, 2003, Agency filed a request under section
728 that the juvenile court seek permission of the probate
court to terminate Alice's guardianship, and also filed a section
388 motion to accomplish the termination. Agency pointed out that
Alice had never provided Agency with the guardianship papers although
she had had numerous contacts with social workers.
Agency also recommended that the court terminate Rebecca's reunification services
and set a section 366.26 hearing for all three children.
The social worker reported that Rebecca had not complied with
her case plan and that she was uncooperative with both
SARMS and the social worker.
On August 12, 2003, the court amended the petitions to
add Alice as the guardian of the children, and appointed
counsel for Alice. Neither Alice nor her counsel requested reunification
services.
At the end of August 2003, Rebecca was discharged from
drug court because she had tested positive for marijuana and
refused residential treatment.
On September 18, 2003, Alice filed a de facto parent
application in which she stated that Merrick and Morrigan had
lived with her since their birth, and that James had
lived with her when he was between the ages of
four and six, and eight and 12 years. The application
also stated that Alice had provided the children with shoes,
clothing, food and housing while taking care of their daily
needs. Alice intended **497
the de facto parent application as a contingency in the
event the court terminated her guardianship.
At the contested hearing on September 18, 2003, Alice acknowledged
that she should not have returned the children to Rebecca's
care when she was ill, *245
and said she was sorry the children had suffered. Alice
said she believed at the time that Rebecca was stable
because she had a place to live and was involved
in a job program. Alice also testified that for various
reasons,
including Rebecca's denials, which Alice believed, she did not have
any reason to think Rebecca was using drugs. On cross-examination,
Alice denied having told a social worker in January that
Rebecca had a long history of drug use. Alice also
denied she had told the social worker that she had
requested guardianship of the children because of Rebecca's drug use.
Alice testified that if she were to become sick again,
she would make arrangements for her daughter-in-law to care for
the children.
Rebecca testified that she had told Alice she never used
drugs, and that she did not tell Alice she had
tested positive for drugs when Merrick and Morrigan were born.
At the conclusion of the September 18, 2003 hearing, the
court terminated Alice's guardianship of the three children and denied
Alice's de facto parent application as to all of the
children. The court also terminated reunification services for Rebecca and
set a section 366.26 hearing in the twins' cases, but
continued the hearing in James's case. Five days later, on
September 23, the court terminated Rebecca's reunification services in James's
case and set a section 366.26 hearing. Neither Alice nor
her attorney was present at this hearing. Alice did not
seek extraordinary writ relief of the termination orders in the
twins' cases by filing a petition pursuant to California Rules
of Court, rule 39.1B.
[FN2]
FN2.
All rule references are to the California Rules of Court.
On November 14, 2003, Alice filed a notice of appeal.
On June 8, 2004, we stayed the upcoming hearing in
the twins' dependency cases.
On August 30, and September 1, 2004, we augmented the
record on appeal to include materials from the superior court
file regarding ICWA notices sent by Agency subsequent to the
orders at issue in this appeal. (Rule 12(a); see fn.
3, post.)
*246
II
DISCUSSION
A.
Failure
to Comply with the Notice Requirements of ICWA Requires Reversal
and
Remand
Alice contends the court
erred by finding ICWA did not apply because Agency never submitted information
to the court showing that the Yaqui tribe and the BIA were in fact noticed.
In
1978, Congress enacted ICWA to "protect the best interests of Indian
children and to promote the stability and security of Indian tribes and
families...." (25 U.S.C. § 1902.) ICWA allows a tribe
to intervene in dependency proceedings because the law presumes it is
in the child's best interest to retain tribal ties and heritage and that
it is the tribe's interest to
preserve future generations. (In
re Desiree F. (2000)
83 Cal.App.4th 460, 469, 99 Cal.Rptr.2d 688.)
"[W]here
the court knows or has reason to know that an
Indian child is involved, the party seeking the foster care
placement of, or termination of parental rights to, an Indian
child shall notify the parent or Indian custodian and the
Indian child's tribe, by registered mail with **498
return receipt requested, of the pending proceedings and their right
of intervention." (25 U.S.C. § 1912(a).)
If the identity of the tribe cannot be determined, notice
must be given to the BIA. (25 U.S.C. § 1912(a);
Dwayne
P. v. Superior Court
(2002) 103 Cal.App.4th 247, 253, 126 Cal.Rptr.2d 639.)
Notice
must be sent whenever there is reason to believe the child may be an Indian
child. (Rule 1439(f)(5).) "[T]he juvenile court needs
only a suggestion of Indian ancestry to trigger the notice requirement."
(In re Nikki R.
(2003) 106 Cal.App.4th 844, 848, 131 Cal.Rptr.2d 256.) ICWA notice
requirements are strictly construed. (In
re Karla C. (2003)
113 Cal.App.4th 166, 174, 6 Cal.Rptr.3d 205.)
The Indian tribe determines whether
the child is an Indian child. (In
re Desiree F., supra,
83 Cal.App.4th at p. 470, 99 Cal.Rptr.2d 688.) "A tribe's determination
that the child is or is not a member of or eligible for membership in
the tribe is conclusive." (Rule 1439(g)(1).)
The notice sent to the BIA and/or
Indian tribes must contain enough information to be meaningful. (In
re Karla C., supra,
113 Cal.App.4th at *247
p. 175, 6 Cal.Rptr.3d 205.) To enable a court to review whether
sufficient information was supplied, Agency must file with the court the
ICWA notice, return receipts, and responses received from the BIA and
tribes. (Id.
at pp. 175, 178-179, 6 Cal.Rptr.3d 205.)
Agency concedes it did not submit to the court proof
of notices to the tribe or to the BIA. Further,
Agency acknowledges that the court's finding that ICWA did not
apply cannot stand without proof of proper notice.
[FN3]
FN3.
In this regard, we have augmented the record on appeal
to include an addendum report filed below by the social
worker in Merrick's dependency case and an addendum report filed
by the social worker in James's case. (Rule 12(a).) Additionally,
we augmented the record on appeal to include the June
7, 2004 court minutes in Merrick's case and the July
21, 2004 court minutes in James's case.
The
augmentation to include these materials, which postdate the appealed orders,
is not in conflict with the general rule articulated in
In
re Zeth S.
(2003) 31 Cal.4th 396, 400, 2 Cal.Rptr.3d 683, 73 P.3d
541 barring a reviewing court from considering post-judgment evidence because
here the parties have agreed to the augmentation. (Id.
at pp. 413-414, fn. 11, 2 Cal.Rptr.3d
683, 73 P.3d 541; see also In
re Elise K.
(1982) 33 Cal.3d 138, 139, 187 Cal.Rptr. 483, 654 P.2d
253 [parties offered stipulation].)
We
note the documents show that (1) in May 2004 the
social worker in the twins' cases sent notices to the
Yaqui Tribe and the BIA, (2) in May 2004, the
social worker in James's case, who had information of possible
Apache heritage, noticed the BIA, the Yaqui Tribe and 11
Apache tribes, (3) in the twins' cases, the court delayed
deciding the applicability of ICWA, pending further responses from the
tribes and has taken no further action because of our
stay in those cases, and (4) seven weeks later in
James's case, in which there was no stay, the court,
after reviewing notices sent to the BIA and 12 Indian
tribes, found ICWA did not apply. The court's action in
James's case renders Alice's challenge of the ICWA order moot
as to James.
Accordingly, we reverse the orders finding ICWA did not apply
in the twins' cases and remand with directions for the
court to assure compliance with ICWA's notice requirements and California
case law interpreting ICWA. (See, e.g., In
re Karla C., supra,
113 Cal.App.4th 166, 6 Cal.Rptr.3d 205.) In James's case, we
dismiss Alice's appeal of the ICWA finding as moot. (See
fn. 3, ante.)
B.
The
Court Did Not Err in Terminating Alice's Guardianship
Alice contends the juvenile court erred in terminating her guardianship
of
the **499
three boys without first providing her with reunification services.
1.
Procedural Background
All
court orders, regardless of their nature, made at a hearing in which a
section 366.26 permanency planning hearing is set must be challenged by
a petition for extraordinary writ. (§ 366.26, subd. (l
)(1); rule 39.1B; In
re Anthony B. (1999)
72 Cal.App.4th 1017, 1021-1024, 85 Cal.Rptr.2d 594; In
re Charmice G. (1998)
66 Cal.App.4th 659, 671, 78 Cal.Rptr.2d 212.)
*248
In In
re Charmice G., supra,
66 Cal.App.4th 659, 78 Cal.Rptr.2d 212, the Court of Appeal
held section 366.26, subdivision (l
) bars direct appeals from orders setting a section 366.26
hearing. The appellate court explained that its statutory interpretation is
in keeping with recent legislative efforts to "expedite finality in
dependency proceedings" and to achieve permanency for children in the
system. (In
re Charmice G., supra,
66 Cal.App.4th at p. 668, 78 Cal.Rptr.2d 212.) In In
re Anthony B., supra,
72 Cal.App.4th at page 1023, 85 Cal.Rptr.2d 594, the Court
of Appeal extended "the bar of section 366.26, subdivision (l
) [to] all
orders issued at a hearing in which a setting order
is entered." The court in In
re Anthony B.
noted:
"The
goals of expedition and finality would be compromised if the
validity of these
types of contemporaneous, collateral orders were permitted to be raised
by appeal from the order itself or from a later
permanent planning order and therefore allowed to remain undecided until
well after the permanent plan was decided upon. The desired
expedition and finality obviously would be most threatened when the
permanent plan was adoption and termination of parental rights, the
preferred plan which must
be ordered if the child is found adoptable and the
juvenile court cannot make any of the findings set out
in section 366.26, subdivision (c)(1)(A) through (D)." (In
re Anthony B., supra,
72 Cal.App.4th at p. 1023, 85 Cal.Rptr.2d 594.)
The juvenile court is required to advise parties who are present at the
hearing in which the section 366.26 is set of the requirement to file
a writ petition to challenge any orders made at the hearing. (§ 366.26,
permanancy planning hearing subd. (l
)(3)(A); rules 1435(e), 1436.5(d).) If the parties are not
present at the hearing, the court is required to mail notice of the writ
petition requirement to the parties within 24 hours. (Rules 1435(e),
1436.5(d).) Failure to give notice of the writ petition requirement
relieves a party of the requirement. (In
re Athena P. (2002)
103 Cal.App.4th 617, 625, 127 Cal.Rptr.2d 46.)
The court terminated Alice's guardianship of her three grandchildren at
the September 18, 2003 hearing, at which Alice was present
with counsel. Also at that hearing, the court set section
366.26 hearings, but only for the twins.
Five days later, the court set the section 366.26 hearing
for James; Alice was not present and was not represented
by counsel at the September 23 hearing.
Regarding the September 18, 2003 hearing, the record is unclear whether
Alice was advised of the writ petition requirement in accordance with
section 366.26, subdivision (l
)(3)(A). Although the clerk's transcript indicates that *249
Alice was given proper notice of the writ requirement, [FN4]
the reporter's transcript does **500
not contain any advisement by the court of the writ requirement. Further,
the reporter's transcript includes the court's directive to her counsel:
"You need to advise your client of her appeal
rights and time frames." (Italics added.) Conflicts between
the reporter's and clerk's transcripts are generally presumed to be clerical
in nature and are resolved in favor of the reporter's transcript unless
the particular circumstances dictate otherwise. (People
v. Smith (1983) 33
Cal.3d 596, 599, 189 Cal.Rptr. 862, 659 P.2d 1152; In
re Maribel T. (2002)
96 Cal.App.4th 82, 86, 116 Cal.Rptr.2d 631.) We reconcile this conflict
in favor of the reporter's transcript (In
re Josue G. (2003)
106 Cal.App.4th 725, 731, fn. 4, 131 Cal.Rptr.2d 92) and find that Alice
did not receive notice of the writ requirement in the twins' dependency
cases.
FN4.
The minute order for the September 18 hearing reads in
part: "The
parties are further advised that a petition for extraordinary writ
review must be filed in order to preserve any right
to appeal the findings and orders made by the court
in setting a hearing pursuant to section 366.26 of the
Welfare and Institutions Code."
In light of the failure to provide Alice with notice
of the writ requirement in the twins' cases, Alice may
challenge the orders made at the September 18, 2003 hearing
on appeal.
[FN5] (In
re Athena P., supra,
103 Cal.App.4th at p. 625, 127 Cal.Rptr.2d 46.)
FN5.
This includes Alice's challenge of the court's order denying de
facto parent status.
As to James's case, the order terminating Alice's guardianship was
not made at the same hearing at which the order
setting the section 366.26 hearing was set. Thus, Alice may
properly challenge the termination order as to James by appeal.
We turn to the substantive merits of Alice's challenge.
2.
The Court Proceeded Properly in Terminating Alice's Guardianship
Alice
contends the juvenile court failed to distinguish between a probate court
guardianship and a dependency court guardianship, and thereby violated
her due process rights when it terminated her guardianship of the three
boys without offering her reunification services. We disagree.
Alice's
guardianship was established under Probate Code section 1500 et seq. before
the dependency proceedings were initiated; she was the legal caretaker
of the children when the juvenile court took jurisdiction over them. Alice
correctly points out that there is a distinction between a guardianship
established under the Probate Code and a guardianship established in a
dependency proceeding as a result of a permanent plan. (§ 366.26,
*250
subd. (b)(3); see In
re Heraclio A. (1996)
42 Cal.App.4th 569, 575- 578, 49 Cal.Rptr.2d 713; In
re Carrie W. (2003)
110 Cal.App.4th 746, 758, 2 Cal.Rptr.3d 38.) A guardian appointed
by the probate court has greater rights than a guardian appointed under
the Welfare and Institutions Code. (See In
re Carrie W., supra,
110 Cal.App.4th at p. 758, 2 Cal.Rptr.3d 38 [in many respects, guardian
appointed under Probate Code is entitled to be treated as a parent in
dependency proceedings].) For example, a guardian appointed under
the Probate Code will be entitled to (1) receive social study reports
before hearings (§ 302, subd. (b)), (2) have counsel appointed if
financially unable to afford to hire one (§ 317, subd. (a)), (3)
object to evidence at the jurisdictional hearing (§ 355, subd. (a)),
and (4) receive reunification services (§ 361.5, subd. (a)).
While the juvenile court did not explicitly distinguish a probate
court guardianship
from a dependency court guardianship, the court was under no
obligation to state on the record that it was aware
of the differences between the two types of guardianship. The
record establishes that the **501
court followed the appropriate procedure to terminate Alice's probate court
guardianships once Alice informed the court of her status as
legal guardian of the children. Agency filed a motion to
have the juvenile court inform the probate court of the
pending termination, as is required under section 728 for termination
of a Probate Code guardianship (§
728, subd. (b)), and the court appointed counsel for Alice
and set a hearing on the motion.
3.
Alice Did Not Have a Right to Reunification Services Under
the Circumstances of this Case
Section 361.5, subdivision (a)
provides in pertinent part: "[W]henever a child is removed
from a parent's or guardian's custody, the juvenile court shall order
the social worker to provide child welfare services to the child and the
child's mother and statutorily presumed father or guardians." Alice
contends that the juvenile court was required under section 361.5, subdivision
(a) to provide reunification services to her since she was the children's
guardian at the time the dependency proceedings began. Further,
Alice maintains the court erred by not considering her right to such services
before it terminated her guardianship.
It is undisputed that Alice was not provided reunification services
as required
under section 361.5, subdivision (a) at the February 11, 2003
dispositional hearing for the twins and the March 11 dispositional
hearing for James. However, the juvenile court was not aware
of Alice's status as legal guardian until June, when she
disclosed it in her correspondence to the court. Alice had
not previously informed the court or Agency that she was
the children's legal guardian even though she had ample opportunity
to do so. *251
Under these circumstances, neither the court nor Agency can be
faulted for not providing Alice with reunification services at the
outset of the dependency proceedings.
The question remains whether reunification services should have been provided
to Alice once she had disclosed the guardianships and before
the guardianships were terminated. If Alice had been appointed guardian
by the juvenile court (see, e.g., § 360,
subd. (a)), the court would not have been required to
offer reunification services before terminating her guardianship. (In
re Alicia O.
(1995) 33 Cal.App.4th 176, 182, 39 Cal.Rptr.2d 119.) However, the
parties have not provided, and our research has not uncovered,
any authority concerning whether reunification services must be offered to
the guardian before a predependency or Probate Code guardianship can
be terminated under section 728.
We must resolve this question by considering the interplay between
section 361.5, subdivision (a), which mandates that reunification services be
provided to
a guardian "whenever
" (italics added) a child is removed from the guardian's
custody, and section 728, subdivision (a), which authorizes the juvenile
court to terminate a guardianship established under the Probate Code
for a child who "is the subject of a petition
filed under section 300" at any regularly scheduled dependency hearing
or any subsequent time.
[FN6]
FN6.
Section 728, subdivision (a) provides in pertinent part: "The juvenile
court may terminate ... a guardianship of the person of
a minor previously established under the Probate Code ... if
the minor is the subject of a petition filed under
Section 300, 601, or 602.... The hearing on the motion
may be held simultaneously with any regularly scheduled hearing held
in proceedings to declare the minor a dependent child or
ward of the court, or at any subsequent hearing concerning
the dependent child or ward...."
"The fundamental rule of
statutory construction is that the court should **502
ascertain the intent of the Legislature so as to effectuate the purpose
of the law. [Citations.] Moreover, 'every statute should be
construed with reference to the whole system of law of which it is a part
so that all may be harmonized and have effect.' [Citation.] If
possible, significance should be given to every word, phrase, sentence
and part of an act in
pursuance of the legislative purpose. [Citation.] Such purpose
will not be sacrificed to a literal construction of any part of the act."
(Select Base Materials,
Inc. v. Board of Equalization
(1959) 51 Cal.2d 640, 645, 335 P.2d 672.)
In seeking to harmonize section 361.5, subdivision (a) and section 728,
our goal is to avoid an interpretation that requires one statute to be
ignored. (Fuentes
v. Workers' Comp. Appeals Bd.
(1976) 16 Cal.3d 1, 7, 128 Cal.Rptr. 673, 547 P.2d 449.) " 'A court
must, where reasonably possible, harmonize statutes, reconcile seeming
inconsistencies in them, and construe them to give *252
force and effect to all of their provisions. [Citations.] This
rule applies although one of the statutes involved deals generally with
a subject and another relates specifically to particular aspects of the
subject. [Citations.]' " (In
re Sarah F. (1987)
191 Cal.App.3d 398, 408-409, 236 Cal.Rptr. 480.)
In
reconciling the mandatory language of section 361.5, subdivision (a) with
section 728, we first consider these provisions in the context of the
statutory scheme of dependency law. "Dependency proceedings
are proceedings of an ongoing nature. While different hearings within
the dependency process have different standards and purposes, they are
part of an overall process and ongoing case. One section of the
dependency law may not be considered in a vacuum. It must be construed
with reference to the whole system
of law of which it is a part so that all may be harmonized and have effect."
(In re Marilyn
H. (1993) 5 Cal.4th
295, 307, 19 Cal.Rptr.2d 544, 851 P.2d 826.)
Typically, a dependency case begins when a peace officer, probation
officer or social worker, who has a reasonable belief that
a child falls within the definitions set forth in section
300 and is in immediate danger, removes the child from
the home. (§§
305, 306.) A petition to have the child declared a
dependent child must be filed within 48 hours (§
313; rules 1440(a), 1442(b)), and a detention hearing must be
held no later than the next judicial day (§
315; rule 1442(d)). At the detention hearing, the social services
agency has the burden of making a prima facie showing
that the child comes within section 300 and that there
is a need for detention. (§
319, subd. (b).)
Within 15 days of the detention order, the juvenile court
must set a hearing on the dependency petition, which is
commonly referred to as the jurisdictional hearing. (§
334.) At this hearing, the court determines whether the child
comes within its jurisdiction by deciding whether the allegations in
the petition are true. (§
355, subd. (a).) If the court finds there is jurisdiction
under section 300, it must conduct a disposition hearing. (§
358, subd. (c); rules 1449(g), 1451, 1455.) If the court
declares the child a dependent child of the juvenile court,
it then considers whether the child may remain with the
parent or guardian, or whether the child must be removed
from the
parent's or guardian's custody pursuant to section 361, subdivision (c).
Section 361.5 mandates that reunification
services for parents or guardians be offered at the dispositional hearing--i.e.,
"whenever a child is removed from a parent's or guardian's custody
...." (§ 361.5, subd. (a), italics added.) It is at **503
the dispositional stage that the child is removed from the parent's or
guardian's custody; prior to that point, the child is being detained.
"The statutes and rules governing dependency actions clearly *253
require that a family reunification plan be developed as part of any dispositional
order removing a child from its home." (In
re Dino E. (1992) 6
Cal.App.4th 1768, 1776-1777, 8 Cal.Rptr.2d 416.)
Turning to the language of section
728, we conclude that this statute gives the juvenile court the authority
to terminate a Probate Code guardianship at any stage in the dependency
proceeding, including at the detention hearing or the jurisdictional hearing.
Section 728 becomes operative when the child "is the subject
of a petition filed under Section 300 ...." (§ 728, subd. (a).)
The court may hear a motion to terminate a Probate Code guardianship
under section 728 at "any regularly scheduled hearing held in [the
dependency] proceedings ... or at any subsequent hearing concerning the
dependent child ...." (§ 728, subd. (a).) A child is "the
subject of a petition filed under Section 300" as soon as the dependency
petition is filed. (§ 728, subd. (a).)
Considered in this context, section 361.5, subdivision (a) and section
728 are not irreconcilable. Notwithstanding the mandatory language of section
361.5, subdivision (a), a predependency or Probate Code guardianship may
legally be terminated before reunification services are offered to the
guardian.
This case is unusual in that Alice's status as legal
guardian was not initially disclosed to the court. We note
that upon receiving Alice's June 10, 2003 correspondence and the
letters of guardianship, the court promptly ordered Agency to investigate
the possibility of placing the children with Alice. On July
1, the court received Agency's report indicating Alice could not
provide a suitable placement for the children. Later that month,
Agency filed a motion to terminate Alice's guardianship, which was
to be held on August 12. On that date, the
court amended the petitions to add Alice as guardian, and
appointed counsel to represent Alice; the court continued the hearing
on Agency's termination motion to allow Alice's newly appointed counsel
time to familiarize herself with the case.
At that point, the initial dispositional hearings had long since
passed. Five months earlier, reunification services had been offered to
Rebecca and not to Alice. However, as to Alice, the
posture of the case was predispositional. That is, the proceedings
were still at a stage at which the court could
properly grant Agency's motion to terminate Alice's guardianships under section
728 without first offering her reunification services. We note that
if the court had denied Agency's termination motion, this would
have set the stage for a new dispositional hearing to
address reunification services for Alice.
We conclude that the court acted within its statutory authority
in terminating Alice's guardianships and that Alice was not deprived
of her *254
substantive due process rights. Nor was she denied procedural due
process. Alice was provided with appointed counsel and was given
the opportunity to oppose Agency's termination motion. Alice has not
shown how the delay in appointing counsel prejudiced her.
Finally,
we reject Alice's contention that the court held Agency to the wrong standard
of proof--a preponderance of the evidence rather than clear and convincing
evidence--on the motion to terminate her guardianships. (See In
re Alicia O., supra,
33 Cal.App.4th at p. 183, 39 Cal.Rptr.2d 119.) The court did not
articulate what standard it applied. Alice's **504
only support for claiming that the court applied a preponderance of evidence
standard is that Agency's attorney argued that preponderance of the evidence
was the correct standard. In the absence of evidence to the contrary,
we presume trial court rulings are correct. (See, e.g., Winograd
v. American Broadcasting Co.
(1998) 68 Cal.App.4th 624, 631, 80 Cal.Rptr.2d 378.)
In any event, substantial evidence supports the court's orders
terminating Alice's guardianships, under either standard. Knowing
that Rebecca's lifestyle posed a risk to the children, Alice returned
them to Rebecca's care when Alice was ill. As a result, the two-year-old
twins were left wandering on the street in January 2003, wearing nothing
but diapers. Their older brother had no place to sleep but on the floor
of a friend's apartment, where he suffered numerous insect bites. He
was seen at school at odd hours, such as 5:00 a.m., and also was seen
on the roof of the cafeteria. In short, none of the three children was
properly supervised. At trial, Alice denied any knowledge of her
daughter's drug use and Rebecca backed up Alice's testimony. The
court, sitting as trier of fact, did not believe their testimony. We
do not second guess the court's credibility calls or reweigh the evidence.
(In re Casey D.
(1999) 70 Cal.App.4th 38, 52-53, 82 Cal.Rptr.2d 426.) Moreover,
Alice's living arrangement was not suitable for three children, and she
had significant health and financial issues that cast doubt upon her ability
to care for them.
C.
Alice
Has Not Established Ineffective Assistance of Counsel
Alice contends her trial
counsel was ineffective for failing to challenge the court's dispositional
orders on the ground that the court did not order reunification services
for her.
In order to sustain her claim of ineffective assistance of counsel, Alice
must show that her trial counsel's performance fell below the standard
of reasonableness
and that there is a reasonable probability that the result would have
been more favorable if counsel had provided adequate representation. (Strickland
v. Washington (1984)
466 U.S. 668, 687, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674; *255
People v. Bolin
(1998) 18 Cal.4th 297, 333, 75 Cal.Rptr.2d 412, 956 P.2d 374.) Alice
must also show that counsel's omissions were not the result of a reasonable
tactical decision. (People
v. Gurule (2002) 28
Cal.4th 557, 611, 123 Cal.Rptr.2d 345, 51 P.3d 224.)
To the extent that we have found the trial court properly followed the
statutory scheme in terminating Alice's guardianship after it was belatedly
disclosed, Alice has failed to make a prima facie showing of ineffective
assistance of counsel. "[C]ounsel is not required to make futile
motions or to indulge in idle acts to appear competent." (People
v. Torrez (1995) 31
Cal.App.4th 1084, 1091, 37 Cal.Rptr.2d 712.)
Moreover, even if we were to find
counsel's omission was not reasonable, we must affirm because the record
does not affirmatively establish the absence of a tactical reason for
the omission. When a claim of ineffectiveness of counsel is raised
on appeal, we examine the record to determine if there is any explanation
for the challenged aspects of representation. If the record sheds
no light on why counsel failed to act in the manner challenged, the case
is affirmed "unless counsel was asked for an explanation and failed
to provide one, or unless there simply could be no satisfactory
explanation...." (People
v. Pope (1979) 23 Cal.3d
412, 426, 152 Cal.Rptr. 732, 590 P.2d 859; see also In
re Darlice C. (2003)
105 Cal.App.4th 459, 463, **505
129 Cal.Rptr.2d 472 [generally the proper way to raise claim is by habeas
corpus writ, not by appeal].)
"We cannot assume that the decision was the result of
negligence, when it could well have been based upon some
practical or tactical decision governed by client guidance." (In
re Arturo A.
(1992) 8 Cal.App.4th 229, 243, 10 Cal.Rptr.2d 131.)
In this case, the record indicates there may have been
tactical reasons for Alice's counsel's approach of defending against termination
of the guardianship and not seeking reunification services. For example,
the record indicates that counsel may have decided not to
pursue reunification services for Alice because Alice had earlier told
a social worker she could not handle the children.
Reviewing courts will sustain
ineffective assistance of counsel claims on appeal " '... only if
the record on appeal affirmatively discloses that counsel had no rational
tactical purpose for his act or omission.' [Citation.]" (People
v. Zapien (1993) 4
Cal.4th 929, 980, 17 Cal.Rptr.2d 122, 846 P.2d 704.) On this record,
we cannot reach this conclusion.
*256
D. The
Court Did Not Abuse Its Discretion in Denying Alice De
Facto
Parent
Status
Alice
contends the juvenile court abused its discretion in denying her application
for de facto parent status.
[FN7]
FN7.
The orders denying Alice de facto parent status were made
during the hearing at which the section 366.26 hearing for
the twins was set. Therefore, Alice could not under ordinary
circumstances challenge the orders relating to the twins by appeal.
However, as discussed above, Alice was not given proper notice
of the requirement to file a petition for extraordinary writ
to challenge these orders and, therefore, she is relieved of
the writ requirement. (See fn. 5 and accompanying text, ante.)
The order setting James's section 366.26 hearing was set at
a different hearing and, therefore, Alice properly raises the denial
of her de facto parent application for James by appeal.
A de facto parent is "a person who has been found by the court to
have assumed, on a day-to-day basis, the role of a parent, fulfilling
the child's physical and psychological needs for care and affection, and
who has assumed that role for a substantial period." (Rule
1401(a)(8); see also In
re B.G. (1974) 11 Cal.3d
679, 692, fn. 18, 114 Cal.Rptr. 444, 523 P.2d 244.) De facto parent
status gives the child's present or previous caretaker standing to participate
as a party in disposition hearings and subsequent hearings in which the
status of the dependent child is at issue. (Rule 1412(e).) A
de facto parent
has the right to be present at the hearing, be represented by retained
counsel,
[FN8] and present evidence. (Ibid.)
The purpose of conferring de facto parent status is to "ensure that
all legitimate views, evidence and interests are considered in dispositional
proceedings involving a dependent minor." (In
re Kieshia E. (1993)
6 Cal.4th 68, 76, 23 Cal.Rptr.2d 775, 859 P.2d 1290.)
FN8.
The juvenile court has the discretion to appoint counsel for
a de facto parent. (Rule 1412(e)(2).)
Whether
a person should be accorded de facto parent status depends on an assessment
of the particular individual and the facts of the case. (In
re Patricia L. (1992)
9 Cal.App.4th 61, 66-67, 11 Cal.Rptr.2d 631.) The court should consider
the applicant's adherence to the role of a parent and whether he or she
has information that would be helpful to the court in making its placement
orders. (In re
Leticia S. (2001) 92
Cal.App.4th 378, 383, fn. 5, 111 Cal.Rptr.2d 810.) Factors the court should
consider in assessing a de **506
facto parent application are whether: "(1) the child is 'psychologically
bonded' to the adult; (2) the adult has assumed the role of a parent
on a day-to-day basis for a substantial period of time; (3) the
adult possesses information about the child unique from the other participants
in
the process; (4) the adult has regularly attended juvenile court
hearings; and (5) a future proceeding may result in an order permanently
foreclosing any future contact with the adult." (In
re Patricia L., supra,
9 Cal.App.4th at pp. 66-67, 11 Cal.Rptr.2d 631; In
re Leticia S., supra,
92 Cal.App.4th at p. 383, fn. 4, 111 Cal.Rptr.2d 810.)
*257
An applicant who otherwise qualifies as a de facto parent may be denied
that status by acting in a manner fundamentally inconsistent with the
role of a parent. (See In
re Kieshia E., supra,
6 Cal.4th at p. 78, 23 Cal.Rptr.2d 775, 859 P.2d 1290.) An applicant
who substantially harms a child, causing that child's dependency, is automatically
disqualified. (Id.
at pp. 77-78, 23 Cal.Rptr.2d 775, 859 P.2d 1290.) We review the
juvenile court's findings for abuse of discretion. (In
re Leticia S., supra,
92 Cal.App.4th at p. 381, 111 Cal.Rptr.2d 810.)
It was uncontested that Alice assumed the daily role of
parent for the two-year-old twins since their birth and that
she assumed the role of James's parent for six of
his 12 years. It is not disputed that the children
were psychologically bonded to Alice. Further, Alice had special knowledge
of the children's health issues, regularly attended the dependency hearings
after the court's jurisdiction was established, and faced losing further
contact with the children as a result of a future
hearing.
Notwithstanding these factors that favor granting Alice de facto parent
status,
Alice at least indirectly caused the twins to be at
risk of substantial harm, which led to their dependency. Regardless
of Alice's protestations to the contrary, she left the twins
in the care of Rebecca, whom she knew used drugs
and had an unstable lifestyle. As a result, the twins
were found wandering outside in January 2003, in their dirty
diapers and tested positive for methamphetamine and marijuana.
"[W]hen a nonparent caretaker
commits 'a substantial
harm ' to the child,
a harm that is fundamentally at odds with the role of a parent, that person's
protectible interest in dispositional decisions is extinguished, including
whatever rights [she] might otherwise have had to de facto parent status."
(In re Vincent
C. (1997) 53 Cal.App.4th
1347, 1356-1357, 62 Cal.Rptr.2d 224, quoting In
re Kieshia E., supra,
6 Cal.4th at p. 78, 23 Cal.Rptr.2d 775, 859 P.2d 1290.) Alice argues
that her actions were, at most, neglectful and that the harm caused to
the twins cannot be likened to the sexual abuse of the child by the applicant
in In re Kieshia E.,
supra, 6 Cal.4th at
pages 71-73, 23 Cal.Rptr.2d 775, 859 P.2d 1290; the abduction of
the child by the applicant to enable the abusive father to have contact
with him in In re Michael
R. (1998) 67 Cal.App.4th
150, 153-154, 78 Cal.Rptr.2d 842; or the drug use by the applicant
in In re Leticia S.,
supra, 92 Cal.App.4th
at pages 380-381, 111 Cal.Rptr.2d 810. We do not read In
re Kieshia E., supra,
6 Cal.4th 68, 23 Cal.Rptr.2d 775, 859 P.2d 1290, as being limited
to sexual or physical abuse cases. Rather, the case stands for the
principle that an applicant's misconduct is relevant in determining de
facto parent status to the extent the misconduct caused the child's dependency.
(Id.
at p. 78, 23 Cal.Rptr.2d 775, 859 P.2d 1290.)
Although the facts of this case are not as serious
as those in In
re Kieshia E., supra,
6 Cal.4th 68, 23 Cal.Rptr.2d 775, 859 P.2d **507
1290, In
re Michael R., supra,
67 Cal.App.4th 150, 78 Cal.Rptr.2d 842 or In
re Leticia S., supra,
92 *258
Cal.App.4th 378, 111 Cal.Rptr.2d 810, we cannot minimize the significance
of the issues presented. Alice was aware that Rebecca used
drugs, that she was irresponsible and that she was often
homeless. Nonetheless, Alice allowed Rebecca to assume temporary care of
the two-year-old twins. The potential for substantial harm to the
twins was considerable. Further, the court found Alice's testimony less
than truthful. Under these circumstances, we cannot say the court
abused it discretion in denying Alice de facto parent status
in the twins' cases.
James's case is a closer one. We acknowledge that all
the factors supporting de facto parent status for Alice in
the twins' case are stronger in James's case. Alice had
assumed the day-to-day role of a parent for James for
at least six years--roughly half of James's life. Because Alice
was James's primary caretaker, she had a unique perspective on
his upbringing and his psychological makeup. She showed continuing interest
in him throughout these proceedings.
It was Alice's concern about James's foster home placement that
led her to write to the court.
We also recognize that there was a greater risk of
substantial harm to the twins than to James because of
the significant difference in their ages. Nonetheless, Alice's action in
allowing Rebecca to temporarily care for the children presented a
significant risk to all three children. James was left unsupervised
for extended periods of time. He was seen at his
school at odd hours, and also was seen on the
roof of the school cafeteria. In effect, James, then 12
years old, was without any guidance or supervision except during
the time he was in school, and his school attendance
was inconsistent. Leaving a 12-year-old child without a caretaker under
these circumstances placed him at a substantial risk of harm.
The court did not abuse its discretion by denying Alice
de facto parent status in James's case.
[FN9]
FN9.
In a letter brief filed by James's appellate counsel, counsel
has informed the court that James, now 13 years old,
wants to live with Alice. We have not considered this
information in light of In
re Zeth S., supra,
31 Cal.4th at page 400, 2 Cal.Rptr.3d 683, 73 P.3d
541, which held a reviewing court generally may not "receive
and consider postjudgment evidence ... rely on such evidence outside
the record on appeal...." However, counsel for James can introduce
evidence of James's preference before
the juvenile case in James's ongoing dependency case.
DISPOSITION
The orders terminating Alice's guardianship and denying Alice's de facto
parent application in the twins' cases and in James's case
are affirmed. The appeal of the ICWA finding in James's
case is dismissed as moot.
*259
The orders finding that ICWA did not apply in the
twins' cases is reversed, and the matter is remanded with
directions that the juvenile court (1) order Agency to notice
all pertinent Indian tribes and the BIA, and file the
required service documentation and responses, if any, from the tribes
and the BIA; and (2) determine whether the notices were
adequate and proper under ICWA and In
re Karla C., supra,
113 Cal.App.4th 166, 6 Cal.Rptr.3d 205. Further, the court is
to do one of the following: (1) if the notices
are sufficient, order that ICWA does not apply, based on
either the responses from the noticed tribes and the BIA
that the children are not Indian children under ICWA, or
the lack of responses from the tribes and the BIA;
(2) if the notices are insufficient, order Agency to send
new notices to the required tribes and the BIA, and
file **508
copies of the notices with supporting service documentation and responses,
if any, with the court or, (3) if upon proper
notice of any of the noticed tribes or the BIA
determines the children are Indian children under ICWA, conduct the
detention, disposition and all subsequent
hearings in accordance with ICWA.
The stay issued during the pendency of this appeal will
be vacated when the opinion is final as to this
court.
WE CONCUR: HUFFMAN, P.J., and O'ROURKE, J.
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