Stacy, J.
The primary question presented in this appeal is how the doctrines of claim preclusion and issue preclusion apply in an abuse and neglect proceeding when the State seeks to assert supplemental grounds for adjudication under Neb. Rev. Stat. § 43-247(3)(a) (Supp. 2013). On this record, we conclude the juvenile court erred when it dismissed the State's supplemental petition, finding it was barred by claim and issue preclusion. We vacate the order of dismissal and remand the matter for further proceedings.
Griel B. and Michaela B. are the biological parents of Noah B., Cheyenne B., and Ciara B. Noah was born in 1998, Cheyenne was born in 1999, and Ciara was born in 2001.
On March 17, 2014, the State filed a petition alleging the children came within the meaning of § 43-247(3)(a). in that Griel subjected them to inappropriate physical contact and Michaela failed to protect them from inappropriate physical contact. On the same date, the State filed an ex parte motion for temporary custody of the children. The motion was granted.
On May 30, 2014, the Nebraska Department of Health and Human Services filed an ex parte motion to suspend contact between the parents and children. An affidavit
The matter proceeded to adjudication on the original petition alleging physical abuse; the State did not seek leave to amend the petition to add sexual abuse as a factual basis for adjudication under § 43-247(3)(a). The adjudication hearing took place over a 3-day period. Noah and Cheyenne both testified, but Ciara did not. The record shows Ciara is a child with cognitive disabilities resulting from a stroke or head injury.
Noah testified that he and his sisters had been physically and emotionally abused by Griel. Cheyenne also testified that she and her siblings had been physically abused by Griel, and in addition, she testified that Griel had sexually abused her on multiple occasions before she was removed from the family home. The first day of trial recessed with Cheyenne on the witness stand.
When cross-examination resumed 2 weeks later, Cheyenne recanted her earlier testimony. On redirect, Cheyenne admitted she had talked with her parents the previous evening, and further admitted she wanted to go back home with them. Cheyenne was asked, "Do you think that coming in today and saying these allegations didn't happen will get you to go home?" She replied, "I don't know." The State attempted to show that she had changed her testimony after having unsupervised contact with her parents in violation of a court order. Specifically, the State questioned Michaela regarding contact with Cheyenne the night before trial, but Michaela objected to the questioning on Fifth Amendment grounds. The court sustained the objection, reasoning that "she has a qualified right to remain silent as to anything that might tend to show she committed a crime [and w]itness tampering is a crime."
After the State rested its case, neither Griel nor Michaela presented evidence. The State focused its closing argument on the evidence adduced regarding allegations of physical abuse, and argued it had proved such allegations. The juvenile court found all three children were within the meaning of § 43-247(3)(a) as to both parents due to physical abuse. In its written order, the court made no specific findings regarding sexual abuse, but found Cheyenne was "not a credible witness" and stated it gave "no credence" to her testimony. All three children were placed in the custody of the Department of Health and Human Services and ordered to be placed outside the home. No appeal was taken from this adjudication.
The dispositional order articulated a permanency objective of reunification with a concurrent plan of guardianship. The court also adopted a case plan which included supervised visitation, family therapy, and a requirement that Griel and Michaela complete a parenting assessment. In the months after the adjudication, Cheyenne and Ciara continued to tell providers and others that Griel had sexually abused them before they were removed from the family home.
On November 4, 2015, the State filed a supplemental petition alleging all three children were within the meaning of § 43-247(3)(a), because Griel had subjected one or more of them to inappropriate sexual contact and Michaela had failed to protect
The State also filed a notice of intent to present hearsay testimony.
Griel moved to dismiss the supplemental petition pursuant to Neb. Ct. R. Pldg. § 6-1112(b)(6) (rule 12(b)(6)), alleging it failed to state a claim upon which relief could be granted, because the allegations raised therein were, or could have been, litigated in the prior adjudication and were barred by the doctrines of claim preclusion and issue preclusion. Alternatively, Griel moved to strike the supplemental petition. Michaela filed similar motions.
At the hearing on the parents' motions, all parties referred extensively to the record and the prior proceedings, but offered no evidence. Griel and Michaela argued the supplemental petition was barred by claim and issue preclusion, because the allegations of sexual abuse were known to all the parties before the initial adjudication hearing and some evidence of sexual abuse was adduced from Cheyenne during the first adjudication hearing.
The State opposed the motions to dismiss on several grounds. First, it argued that even under a traditional application of claim preclusion, the issue of sexual abuse was not alleged or tried on the merits in the first adjudication, particularly as regards Ciara, who did not testify. The State acknowledged testimony of sexual abuse had been elicited from Cheyenne during the first adjudication hearing, but argued that the court made no findings regarding sexual abuse and there were no dispositional orders entered addressing sexual abuse.
The State's primary argument was that the doctrines of claim and issue preclusion apply differently "in matters concerning the best interest of children." The State relied on the cases of In re Interest of V.B. and Z.B.
The trial court took judicial notice of several prior pleadings and orders, and also indicated it "kind of remember[ed]" some of the testimony from the first adjudication and Cheyenne's recanting of her testimony. Briefing was requested, and the matter was taken under advisement.
In an order entered December 10, 2015, the court granted the parents' motions and dismissed the State's supplemental petition in its entirety, finding it was barred by the doctrines of claim and issue preclusion. The State timely appealed, and we moved the case to our docket on our own motion pursuant to our statutory authority to regulate the caseloads of the appellate courts of this state.
The State assigns, restated and consolidated, that the juvenile court erred in dismissing the supplemental petition on the bases of claim preclusion and issue preclusion.
An appellate court reviews juvenile cases de novo on the record and reaches a conclusion independently of the juvenile court's findings.
The trial court's grant of a motion to dismiss for failure to state a claim under rule 12(b)(6) is reviewed de novo. accepting all the allegations in the complaint as true and drawing all reasonable inferences in favor of the nonmoving party.
The applicability of claim and issue preclusion is a question of law.
We begin by noting that in the past, claim preclusion and issue preclusion were referred to as res judicata and collateral estoppel, respectively.
In a juvenile case, as in any other appeal, before reaching the legal issues
Our jurisdiction to review the juvenile court's December 10, 2015, order depends on whether it is a final order.
Numerous factors determine when an order affects a substantial right for purposes of appeal. Broadly, these factors relate to the importance of the right and the importance of the effect on the right by the order at issue.
The State's right in juvenile proceedings is derived from its parens patriae interest,
The December 10, 2015, order dismissed the supplemental petition in its entirety with no leave to amend, thus foreclosing the State from pursuing adjudication and disposition on grounds of sexual abuse, and preventing the State from seeking to protect the children from such
The juvenile court dismissed the supplemental petition, finding it was barred by the doctrines of claim preclusion and issue preclusion. Claim preclusion bars the relitigation of a claim that has been directly addressed or necessarily included in a former adjudication if (1) the former judgment was rendered by a court of competent jurisdiction, (2) the former judgment was a final judgment, (3) the former judgment was on the merits, and (4) the same parties or their privies were involved in both actions.
Issue preclusion applies where (1) an identical issue was decided in a prior action, (2) the prior action resulted in a final judgment on the merits, (3) the party against whom the doctrine is to be applied was a party or was in privity with a party to the prior action, and (4) there was an opportunity to fully and fairly litigate the issue in the prior action.
Whether either preclusion doctrine applies in any given case is necessarily fact dependent. In this case, Griel and Michaela raised the applicability of claim and issue preclusion via motions to dismiss under rule 12(b)(6). Because a rule 12(b)(6) motion tests the legal sufficiency of the complaint, not the claim's substantive merits, a court may typically look only at the face of the complaint to decide a motion to dismiss.
As a general proposition, it will be a rare case where the face of a pleading contains the facts necessary to permit a court to determine the applicability of claim preclusion on a motion to dismiss under rule 12(b)(6).
The juvenile court took judicial notice of certain prior filings in the case, and we have said that when such filings are matters of public record, they can be judicially noticed without converting a motion to dismiss into a motion for summary judgment.
As noted, the State presented to the court a notice of intent to offer hearsay evidence and, in doing so, argued as a matter of fact that both Cheyenne and Ciara had made disclosures of sexual abuse after the original adjudication. The State also informed the court it had additional evidence related to statements made by Griel to Cheyenne during visitations and by Ciara after the original adjudication. None of these "facts" could properly be considered by the court in the context of deciding a motion to dismiss.
In its written order dismissing the supplemental petition, the court found that "the State as well as all other parties to this case were aware of the sexual abuse allegations involving the minor children... prior to the [first] adjudication in this matter." The court further found that in the first adjudication, "the State called the minor child, Cheyenne as a witness and after she extensively testified to the alleged sexual abuse by her father, Cheyenne inexplicably recanted and admitted that she had lied about the allegations of abuse including sexual abuse." And the court also made a finding that "the State certainly could have called the minor child, Ciara as a witness, but it made a tactical decision not to call her." It is not clear from the record what the court relied upon in making these findings. It is clear from our review of the record, however, that the court could not have found the parties were aware of the specific sexual abuse allegations the State sought to raise in the supplemental petition without looking at matters outside the pleadings and prior court records.
On the record before us, we conclude the juvenile court erred by not converting the motions to dismiss into motions for summary judgment and allowing both parties an opportunity to produce evidence supporting their arguments. We do not comment on whether the applicability of claim and issue preclusion could be determined under a summary judgment standard, but hold only that it was error here to consider matters beyond the pleading and matters of public record when ruling on the motion to dismiss. We therefore vacate the order of dismissal and remand the matter for further proceedings consistent with this opinion.
An appellate court may, at its discretion, discuss issues unnecessary to the disposition of an appeal where those issues are likely to recur during further proceedings.
We have considered claim preclusion in the context of successive child custody
Several other jurisdictions have examined how the doctrine of claim preclusion should be applied in child welfare cases.
Other courts have expressed similar caution about mechanically applying claim preclusion in child welfare cases. According to the Connecticut Supreme Court,
We find the concerns expressed by these courts to be compelling. And we note that Nebraska appellate courts have also limited the application of claim and issue preclusion in child welfare cases.
In In re Interest of V.B. and Z.B.,
In In re Interest of V.B. and Z.B., we found this rationale applied to parental termination cases as well. We held that "[w]hen a second termination proceeding is not itself barred, the proof is not limited by [claim preclusion or issue preclusion] principles to facts or evidence which was not considered in, or which came into being after, the first proceeding."
The Nebraska Court of Appeals has also limited the application of claim preclusion in the context of a juvenile dependency proceeding that involved a successive motion to terminate parental rights.
These cases illustrate that in child welfare cases. Nebraska appellate courts have not strictly applied claim preclusion. Instead, both this court and the Court of Appeals have implicitly recognized that the policies of finality and judicial efficiency advanced by the doctrine of claim preclusion must, when necessary, give way when strict application of the doctrine would frustrate the central goal of protecting the welfare of children. Supplemental petitions seeking adjudication and disposition on additional grounds present such a circumstance.
We now expressly hold that the doctrine of claim preclusion should not be strictly applied in abuse and neglect cases when doing so would fail to protect children from continuing abuse or neglect. The best interests of Nebraska's children cannot be protected by a technical application of claim preclusion that bars the State from filing a supplemental petition seeking to adjudicate continuing allegations of abuse and neglect, simply because the State knew about such allegations previously and did not initially seek adjudication on that basis.
In so holding, we caution that the State does not have unfettered authority to adjudicate abuse and neglect allegations in a piecemeal fashion, free from the constraints of claim preclusion. Claim preclusion applies in abuse and neglect cases, but when a supplemental petition seeks adjudication on grounds not alleged in a prior adjudication, claim preclusion will not limit the proof to only facts or evidence that was not considered in, or which came into being after, the prior adjudication proceeding.
This modified application of claim preclusion is consistent with how we have applied the doctrine in successive child custody hearings,
For the foregoing reasons, we vacate the order of dismissal and remand the matter for further proceedings on the supplemental petition.
VACATED AND REMANDED FOR FURTHER PROCEEDINGS.