IN THE MATTER OF THE GUARDIANSHIP OF JAMES D.K.: ROBIN K., Aрpellant-Petitioner, v. LAMANDA M., Respondent.
No. 2004AP767
Supreme Court of Wisconsin
June 13, 2006
2006 WI 68 | 718 N.W.2d 38 | 277 Wis. 2d 350
Oral argument October 6, 2005.
For the respondent there was a brief by Katherine E. Campbell and LaRowe, Gerlach & Roy, S.C., Reedsburg, and oral argument by Katherine E. Campbell.
¶ 2. At issue in this case is the proper standard a circuit court must impose in considering a guardianship petition involving a minor when a parent objects, pursuant to
¶ 3. We conclude that when a parent objects, a court is authorized under
I
¶ 4. Robin filed a petition for guardianship of James on November 5, 2003, under
The present case involves the application of
We note that there may be similarities between the statutory requirement that a court find “extraordinary circumstances requiring medical aid or the prevention of harm to his or her persоn,”
¶ 6. Lamanda opposed the petition.6 Lamanda contends that Robin misrepresents the amount of time
¶ 7. On December 3, 2003, a hearing was held on Robin‘s petition for guardianship in Sauk County Circuit Court before the Honorable James Evеnson. The guardian ad litem appointed to represent James recommended that the guardianship be granted to Robin. At the hearing, Lamanda asserted that she allowed James to visit with Robin periodically and to go on trips to California at Robin‘s request. Lamanda disputed Robin‘s contention that Robin was the primary caregiver for James:
I never thought that I couldn‘t take care of my son. That‘s not why I let [Robin] take [James] to California and keep him over night. She would ask me if I would let her take him to California. And, at first, I would let him go. And then, when she was here, she would want to take him for a few days or for a week and I would agree with it, because he likes going over there. I wasn‘t—that was my family. She was my aunt. I trusted her. I remember going over there when I was a young girl and I would like playing out in the yard and going fishing and going swimming. That‘s the only
reason I let him go over there. I never once thought I wasn‘t capable enough of taking care of my son.
¶ 8. The circuit court denied Robin‘s petition for guardianship. The court indicated that it had difficulty with the guardianship statutes in that they did not seem to be designed for a case like the present case. The court expressed concern that the guardianship statutes offered no guidance on commencing a guardianship action, and no standards concerning when and how a guardianship should end.
¶ 9. The circuit court concluded that there was no evidence that Lamanda neglected her children, and that the fact that Human Services had not taken the other children from the home was tacit approval that home placement was appropriate, subject to certain programming. Therefore, the circuit court rejected the recommendation of the guardian ad litem and denied the petition for guardianship.
¶ 10. Robin appealed the circuit court‘s decision. On appeal, Robin asserted that the parental preference established by
¶ 11. The court of appeals affirmed the circuit court, concluding that in a guardianship proceeding between a nonparent and a parent, the parent must be prоven “unfit” consistent with the standard set forth in Barstad. Robin K., 2004AP767, unpublished slip op., ¶¶ 1, 3-4. Robin seeks review, and we affirm.
II
¶ 12. This case presents mixed questions of fact and law, including questions of statutory interpretation. A circuit court‘s decision on whether to appoint a guardian involves a determination by the court based on the court‘s review of the facts of the case. See Anna S. v. Diana M., 2004 WI App 45, ¶ 7, 270 Wis. 2d 411, 678 N.W.2d 285. Such a determination is within the discretion of the circuit court judge. Id. We give deference to the circuit court‘s factual findings unless clearly erroneous. Howard M. v. Jean R., 196 Wis. 2d 16, 20, 539 N.W.2d 104 (Ct. App. 1995). Therefore, “[w]e affirm discretionary decisions if the circuit court applies the proper legal standard to the relevant facts and uses a rational process to reach a reasonable result.” Anna S., 270 Wis. 2d 411, ¶ 7 (citing Loy v. Bunderson, 107 Wis. 2d 400, 414-15, 320 N.W.2d 175 (1982)). Although the
¶ 13. We also review statutory interpretation de novo. State v. Reed, 2005 WI 53, ¶ 13, 280 Wis. 2d 68, 695 N.W.2d 315. The purpose of statutory interpretation is to give the statute its full, proper, and intended effect. Id. (citation omitted). “We begin with the statute‘s language because we assume that the legislature‘s intent is expressed in the words it used.” Id. We refrain from interpreting statutory language in isolation and interpret the language in the context in which it is used to avoid absurd or unreasonable results. State ex rel. Kalal v. Circuit Court for Dane County, 2004 WI 58, ¶ 46, 271 Wis. 2d 633, 681 N.W.2d 110. If the meaning is plain from the language of the statute, we ordinarily stop the inquiry. Reed, 280 Wis. 2d 68, ¶ 13 (citation omitted).
III
¶ 14. In this action, we are asked to determine the appropriate standard for a circuit court to use in deciding whether to appoint a nonparent as a guardian for a minor under chapter 880 when the minor‘s parent objects.9 The case requires us to review chapter 880 in
¶ 15. Chapter 880 codifies certain guardianships for children in Wisconsin.11 Under chapter 880, when a court appoints a guardian for a minor, that guardian is entrusted with the “care, custody and control” of the
¶ 16. The legislature has not defined “extraordinary circumstances” under this section, and this court has not previously discussed what would constitute “extraordinary circumstances” under the guardianship statutes. In construing a statute, this court ascertains and gives effect to the legislative intent. State v. Petty, 201 Wis. 2d 337, 355, 548 N.W.2d 817 (1996). “In accord with the canons of statutory construction, [this court] give[s] words their ordinary and accepted meanings so
¶ 17. In proceedings for the appointment of a guardian, the burden of proof by clear and convincing evidence rests upon the party seeking guardianship. See Colliton v. Colliton, 41 Wis. 2d 487, 491, 164 N.W.2d 480 (1969) (addressing the appointment оf a guardian due to mental incompetency); Cheryl F. v. Sheboygan County, 170 Wis. 2d 420, 425, 489 N.W.2d 636 (Ct. App. 1992) (addressing the appointment of a guardian due to mental incompetency). We next examine whether Robin established, by clear and convincing evidence, the existence of extraordinary circumstances requiring medical aid or the prevention of
¶ 18. We begin our analysis by observing that the record before us is incomplete.15 Full transcripts of the various hearings referenced in the parties’ briefs were not made available. Our review is therefore limited to those parts of the record that are made available to us. Ryde v. Dane County, 76 Wis. 2d 558, 563, 251 N.W.2d 791, 793 (1977) (holding that the lack of a transcript “merely limits the review to those portions of the record that are available to the reviewing court“). Even when we examine a limited record, however, our standard of
¶ 19. In the present case, the circuit court found Lamanda‘s home “somewhat chaotic,” and noted the existence of “some general allegations of neglect.” However, the court concluded that there were no specific signs of neglect to any of Lamanda‘s children. The circuit court further found that because the Wisconsin Department of Human Services decided against removing Lamanda‘s other children, the department had tacitly approved that James‘s home рlacement was appropriate, subject to certain programming. Based on this finding, the court ruled that guardianship was inappropriate in this case.
¶ 20. Upon review of the record, we conclude that the circuit court‘s findings of fact are not clearly erroneous. We further conclude that Robin failed to establish by clear and convincing evidence that extraordinary circumstances exist requiring medical aid or the prevention of harm with respect to James. We agree with the circuit court that on the basis of this record, no need for a guardian has been shown.
¶ 21. In sum, we conclude that in evaluating a petition for a permanent guardianship on behalf of a minor filed by a nonparent when a parent objects, a court must first determine whether the party bringing the guardianship petition has shown that the child is in need of a guardian because there exist extraordinary circumstances requiring medical aid or the prevention of harm. Absent a showing of such extraordinary circumstances or need for a guardian, the court cannot appoint a guardian.
IV
¶ 22. We conclude that under chapter 880, a court is authorized to appoint a guardian for a minor when a parent objects when there exist extraordinary circumstances affecting the health or safety of the minor. We further conclude that the record in the present case does not support a finding of the requisite extraordinary circumstances or any need to appoint a guardian. Accordingly, we affirm the decision of the court of appeals on other grounds.
¶ 23. By the Court.—The decision of the court of appeals is affirmed.
¶ 24. DAVID T. PROSSER, J. (concurring). While I concur in the result, I cannot join the majority opinion because I believe the standard it sets for granting a guardianship is not responsive to the complex realities that demand the appointment of a guardian. By adopting a one-size-fits-all standard that exceeds what is constitutionally required, the majority hamstrings the usefulness and flexibility of guardianships.
¶ 25. On November 5, 2003, Robin K. filed a petition for permanent guardianship of a minor, James D.K. Robin K. was the child‘s great aunt. She alleged that three-year-old James had spent most of the past two-and-one-half years living with her.
¶ 26. The following day, November 6, the child‘s mother, Lamanda M., asked a police officer to remоve James from Robin K.‘s home and return him to her.
¶ 27. On November 13, Robin K. filed an amended petition, seeking temporary guardianship of James. The amended petition was supported by a sworn affidavit alleging that for the past two-and-one-half years Robin
¶ 28. Robin K.‘s affidavit also statеd that she feared for the emotional and physical welfare of James when he was at his mother‘s house. On one occasion when he was with Lamanda M., the child was in an automobile accident that involved drinking; on another occasion, the child was in the car when the driver was arrested for operating under the influence of an intoxicant. Robin K. claimed that multiple people lived at the mother‘s residence and that James did not have his own bedroom.
¶ 29. In response to Robin K.‘s petition, the court scheduled a hearing for November 20, 2003. Lamanda M. objected. In a November 18 letter to the court, she wrote:
I need to postphon my coort date on Nov. 20th 2003 for 2 resons. 1 I jest found out yesterday and I haven‘t found a lawer for my case. 2. I have to go out of state for a funrul. I have to leave tonight and I proble won‘t be back in til Saterday. I hope you will understand. I reall haven‘t found time to get council. Thanks for your time.
¶ 30. The court rescheduled the hearing, and it took evidence on December 3, 2003. Lamanda M. appeared at the December hearing without an attorney.
THE CIRCUIT COURT HEARING
¶ 31. This court is at a disadvantage because it does not have a transcript of the evidentiary portion of the circuit court hearing. We know, however, that the case came before the court as a petition for a temporary guardianship of the person of a minor under
¶ 32. There is a transcript of the court‘s ruling and the arguments that preceded the ruling. In the arguments, the guardian ad litem recommended the requested guardianship based upon (a) “concerns that I see with regard to the parenting that is being provided,” (b) the abandonment standard having somewhat been met “by the mere fact that the child has not been in the care of the mother for most of the time,” (c) the apparent lack of stability in the mother‘s life, (d) some of the decisions the mother “makes are not necessarily in the best interests” of her children, (e) the absence of stability in maintaining work or having a regular income, (f) concern about the stability of the mother‘s relationships with men (“four children, three born/one unborn... and all of them have different fathers“), (g) concerns leading to the intervention of the Sauk County Department of Human Services, and (h) “the wellbeing and best interests of the child.”
¶ 33. Counsel for Robin K. made legal arguments about guardianship and how the mother could terminate the guardianship if the mother could show that she had become a “suitable” parent. “This guardianship is
¶ 34. “[T]he most telling evidence against the mother in this case,” counsel added, “is the fact that she has allowed [Robin K.] to have this child[,] and the Court then has to ask itself why. And I think the answer is clear. Because she didn‘t feel she could care for the child.”
¶ 35. Lamanda M. fired back:
I never thought that I couldn‘t take care of my son... I still don‘t understand why they think I‘m not capable of taking care of my son, or stable enough to take care of my son, when I‘ve had my girls and I‘m stable enough to take care of them. And I know that I‘m young and I know that I have some money problems and some problems with having my friends come over. But... I think everybody once in their life goes through money situations when they lose their job or they can‘t find new employment.
¶ 36. In its ruling, the court stated that it had difficulty with the guardianship statute “in a situation such as this.” The court indicated there were no limitations on commencing the action and no apparent way to end the guardianship. “[W]hat is the standard to be applied?” the court asked. The court then answered its own questiоn: “[T]he guardianship does not have a standard.” Although the court expressed concern “with the situation as it[‘]s been described to exist in [the mother‘s] home,” the number of people there, the number of children, the “somewhat chaotic” atmosphere, and the general allegations of neglect, it concluded: “I
¶ 37. The issue presented on review is what standard the circuit court should employ in determining whether to grant a temporary guardianship of the person of a minor child when the guardianship is opposed by the child‘s mother.
DISCUSSION
¶ 38. Chapter 880 is entitled “Guardians and Wards.”
¶ 39. A “guardian” is defined, in part, in
¶ 40. In this case, Robin K. is seeking a new legal status—guardian of the person of a minor child. That status would give her “custody” of the child. She is attempting to secure this legal status over the opposition of the mother. In these specific circumstances, the standard appears to be governed by Barstad v. Frazier, 118 Wis. 2d 549, 568-69, 348 N.W.2d 479 (1984):
We conclude that the rule to be followed in custody disputes between parents and third parties is that a parent is entitled to custody of his or her children unless the parent is either unfit or unable to care for the children or there are comрelling reasons for awarding custody to a third party. Compelling reasons include abandonment, persistent neglect of parental responsi-
bilities, extended disruption of parental custody, or other similar extraordinary circumstances that would drastically affect the welfare of the child. If the court finds such compelling reasons, it may award custody to a third party if the best interests of the children would be promoted thereby.
¶ 41. The court expanded its analysis in a footnote:
We are not . . . holding that parents may be deprived of custody of their children only if they are found to be unfit. . . . A complete failure to assume any significant responsibility for the child . . . may well constitute compelling reasons warranting an award of custody to a non-parent.
Id. at 569 n.9 (emphasis added).
¶ 42. This court adhered to the Barstad standard as the proper standard when determining whether custody should be grаnted to a party who is not a minor‘s biological or adoptive parent. Holtzman v. Knott, 192 Wis. 2d 649, 664–65, 533 N.W.2d 419 (1995). See also Sporleder v. Hermes, 162 Wis. 2d 1002, 1009, 471 N.W.2d 202 (1991).
¶ 43. The standard set out in Barstad is a statement of “constitutional principles.” Id. at 563. This means that when it applies, this standard prevails over any different statutory language. Nonetheless, the Barstad court tied the standard to the existing custody statute,
If the interest of any child demands it, and if the court finds that neither party [parent] is able to care for the child adequately or that neither party [parent] is fit and proper to have the care and custody of the child, the court may declare any such child to be in need of protection or services and transfer legal custody of the child to a relative of the child....
¶ 45. If one were able to draw a clear distinction between the legal custody under present
¶ 46. At the December 3, 2003, hearing, Robin K. sought a temporary guardianship. A temporary guardianship is described in
If, after consideration of a petition for temporary guardianship, the court finds that the welfare of a minor, spendthrift or an alleged incompetent requires the immediate appointment of a guardian of the person . . . it may appoint a temporary guardian for a period not to exceed 60 days unless further extended for
60 days by order of the court. The court may extend the period only once. The authority of the temporary guardian shall be limited to the performance of duties respecting . . . the performance of particular acts, as stated in thе order of appointment. All provisions of the statutes concerning the powers and duties of guardians shall apply to temporary guardians except as limited by the order of appointment.
¶ 47. Because the appointment of a temporary guardian is limited in time, the court may focus on the short-term welfare of the child in light of a parent‘s alleged inability to provide care or the presence of some immediate risk to the child as reflected in a need for protection or services. The statute appears to give the court power to set conditions in its order of appointment.
¶ 48. A temporary guardianship permits a troubled parent to stabilize her situation, addressing problems that might jeopardize her parental rights. A tempоrary guardianship permits the guardian or other person seeking a change of legal custody to determine whether to go forward, assuming the burden of proving parental “unfitness” or other grounds that will overcome parental opposition.
¶ 49. I part company with the majority opinion for three reasons.
¶ 50. First, the majority treats this case as a request for a permanent guardianship but declines to apply the Barstad standard. Majority op., ¶ 3 n.3. I disagree. The majority‘s standard, “extraordinary circumstances affecting the health or safety of the minor,” is entirely consistent with the phrase in the Barstad standard: “extraordinary circumstances that would drastically affect the welfare of the child.” Barstad, 118 Wis. 2d at 568.
¶ 52. Second, by turning to the language in
¶ 53. Frankly, the standard applied in these cases cannot be the same in all situations.3 The standard has to vary when a parent is not involved, when a guardianship is not contested, and perhaps when there is a contested guardianship of the “estate” as opposed to a contested guardianship of the “person.” To illustrate, if Robin K. had retained actual custody of James and if the mother did not oppose Robin K.‘s guardianship of the child‘s person, the standard would have to be different from “extraordinary circumstances affecting the health or safety of the minor,” because there would be, on such facts, no threat to the health or safety of James. It is not clear, under the majority‘s analysis, whether it would insist on applying the same standard on such facts, relying on
¶ 54. Third, I recognize that this court does not have the full record and that the circuit court did not find facts to grant the petition for a temporary guardianship. But I completely disagree that the court could not have granted a temporary guardianship if the facts alleged were established at the heаring. I believe it could have.
¶ 55. The Barstad court took pains to explain that the fundamental liberty interest of natural parents in the care, custody, and management of their own children
¶ 56. Lamanda M. asserted her parental rights but substantially abdicated her parental responsibilities. A young mother who willingly places her child in the care, de facto custody, and control of a relative for the better part of two-and-one-half years is either not responsible or, conversely, sufficiently responsible to realize that she cannot properly care for her child. It is not likely that her situation changed abruptly overnight.
¶ 57. In addition, at the time of the hearing, Lamanda M. was a mother who allegedly had four non-marital children by four different fathers, who had never provided financial support for James, who was unemployed, who had no stable source of income, who had a chaotic household, who had drug and alcohol problems, who had lost her driving privileges, who was (on the basis of her letter to the court) poorly educated, and who had a lengthy history of law enforcement contact and prosecution.
¶ 58. This court should not deрrive circuit courts of the legal authority to grant guardianships, especially temporary guardianships, when facts of this gravity are established.
¶ 59. I concur in the result here, first, because I am not prepared to say that the findings of the circuit court are clearly erroneous, and, second, because two-
Notes
[A] parent is entitled to custody of his or her children unless the parent is either unfit or unable to care for the children or there are compelling reasons for awarding custody to a third party.Id. at 568. Although the majority claims to limit its holding to the appointment of a guardian when a parent objects, there is no statutory basis for this limitation.
