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IN THE SUPREME COURT OF NORTH CAROLINA
No. 218A02
FILED: 20 DECEMBER 2002
LESLIE S. AUGUR
v.
RICHARD G. AUGUR
Appeal pursuant to N.C.G.S. § 7A-30(2) from the
decision of a divided panel of the Court of Appeals, 149 N.C.
App. 851, 561 S.E.2d 568 (2002), affirming in part and reversing
and remanding in part a judgment entered 11 December 2000 by
Cash, J., in District Court, Buncombe County. Heard in the
Supreme Court 16 October 2002.
Pisgah Legal Services, Inc., by Anne Bamberger; and
Amy E. Ray, for plaintiff-appellant.
Carter and Kropelnicki, P.A., by Steven Kropelnicki,
Jr., for defendant-appellee.
MARTIN, Justice.
Plaintiff Leslie Augur and defendant Richard Augur
married in 1981 and divorced in 1996. On 26 October 1999,
plaintiff filed a complaint and motion for a domestic violence
protection order (DVPO) against defendant pursuant to the
provisions of the North Carolina Domestic Violence Act (DVA),
N.C.G.S. ch. 50B (2001). Plaintiff alleged defendant had
assaulted her the previous night and had demonstrated abusive
behavior toward plaintiff and her children in the past.
The trial court entered an ex parte DVPO against
defendant on 28 October 1999. The DVPO instructed defendant:
(1) to not assault, threaten, abuse, follow, harass . . . , orinterfere with plaintiff; (2) to stay away from plaintiff's
residence and workplace; (3) to avoid all contact with plaintiff;
and (4) to not possess or purchase a firearm during the next ten
days.
On 1 November 1999, the trial court held a hearing
where both parties were represented by counsel. At the hearing,
defendant served plaintiff with an answer, a counterclaim for
declaratory judgment as to the constitutionality of the DVA, and
a motion to dismiss. Defendant's request for declaratory relief
included the assertion that the provisions of the DVA are
facially unconstitutional. At defendant's request, the trial
court continued the hearing. A modified DVPO, without the
firearm restriction, remained in effect until 15 November 1999 by
mutual consent of the parties.
On 13 December 1999, the trial court ruled plaintiff
had failed to show that any domestic violence had occurred and
took under advisement the issues raised by defendant's
counterclaim for declaratory relief. On 7 August 2000, the trial
court entered an order dismissing plaintiff's complaint and
denying defendant's counterclaim as moot. On motion of the
defendant, the trial court's judgment was set aside to afford the
North Carolina Attorney General the opportunity to be heard on
the constitutional issues raised by defendant's counterclaim, as
required by N.C.G.S. § 1-260. The Attorney General ultimately
agreed with the trial court's original disposition of the matter
and declined the opportunity to be heard. Therefore, the trial
court entered another judgment dated 11 December 2000, dismissingplaintiff's complaint and again denying defendant's request for
declaratory judgment on mootness grounds. Defendant appealed to
the Court of Appeals.
A divided panel of the Court of Appeals reversed the
trial court order in part, remanding the case for consideration
of the issues raised by defendant's counterclaim. Augur v.
Augur, 149 N.C. App. 851, 561 S.E.2d 568 (2002). The Court of
Appeals stated that the existence of an 'actual controversy
. . . both at the time of the filing of the pleading and at the
time of the hearing' is a prerequisite to the exercise of
subject matter jurisdiction under North Carolina's version of the
Uniform Declaratory Judgment Act (NCUDJA), N.C.G.S. §§ 1-253 to
1-267 (2001). Augur, 149 N.C. App. at 853, 561 S.E.2d at 570
(quoting Sharpe v. Park Newspapers of Lumberton, Inc., 317 N.C.
579, 585, 347 S.E.2d 25, 30 (1986)) (alteration in original)
(emphasis omitted). The Court of Appeals determined that an
actual controversy existed between the parties both on 1 November
1999 and on 13 December 1999 because the merits of defendant's
counterclaim for declaratory judgment could not be determined by
dismissal of plaintiff's complaint. Id. at 854, 561 S.E.2d at
570. Therefore, defendant was entitled to a ruling on the
constitutionality of the DVA. Id.
Judge Greene, in dissent, agreed that an actual
controversy existed at the time defendant filed his counterclaim
but stated that defendant was no longer affected by the DVA after
dismissal of plaintiff's complaint. Id. at 855, 561 S.E.2d at
571 (Greene, J., dissenting). Since the validity of a statutecan be 'challenged [only] by a person directly and adversely
affected' by it, the dissent asserted that the trial court no
longer had jurisdiction over defendant's counterclaim after
plaintiff's complaint was dismissed. Id. (quoting City of
Greensboro v. Wall, 247 N.C. 516, 519-20, 101 S.E.2d 413, 416
(1958)). Plaintiff appeals on the basis of the dissenting
opinion. See N.C.G.S. § 7A-30(2) (2001).
At the outset, the parties agree that an actual
controversy existed in the instant case at the time defendant
filed his counterclaim. Therefore, for purposes of our
discussion, we assume the court had jurisdiction over defendant's
counterclaim. See In Re Peoples, 296 N.C. 109, 146, 250 S.E.2d
890, 911 (1978) (stating that once jurisdiction attaches, it is
generally not ousted by subsequent events), cert. denied, 442
U.S. 929, 61 L. Ed. 2d 297 (1979). When the trial court issued
its order, it effectively declined to exercise its jurisdiction.
Our initial inquiry, therefore, necessarily focuses on the trial
court's authority to decline defendant's request for declaratory
relief.
Section 1-257 of the NCUDJA, entitled Discretion of
court, provides: [A] court may refuse to render or enter a
declaratory judgment or decree where such judgment or decree, if
rendered or entered, would not terminate the uncertainty or
controversy giving rise to the proceeding . . . . The NCUDJA
became law in 1931, and section 1-257 is modeled after section 6
of the Uniform Declaratory Judgments Act (UDJA). See
12A U.L.A. 1 (1996) (noting the effective date and statutorycitation for NCUDJA). Compare Uniform Declaratory Judgments Act
§ 6, 12A U.L.A. 302 (1996), with Act of March 12, 1931, ch. 102,
sec. 5, 1931 Public Laws of N.C. 133, 134 (codified as amended at
N.C.G.S. § 1-257) (demonstrating that the relevant language in
N.C.G.S. § 1-257 is identical to section 6 of the UDJA).
In searching for guidance as to the meaning of section
1-257, we turn, as we have in other circumstances, to federal
cases interpreting parallel federal provisions. See, e.g.,
Department of Transp. v. Rowe, 353 N.C. 671, 678, 549 S.E.2d 203,
209 (2001) (federal Due Process Clause caselaw persuasive but not
controlling when analyzing the North Carolina Constitution),
cert. denied, 534 U.S. 1130, 151 L. Ed. 2d 972 (2002); State v.
Thompson, 332 N.C. 204, 219, 420 S.E.2d 395, 403 (1992) (same --
Rules of Evidence); Rose v. Vulcan Materials Co., 282 N.C. 643,
655, 194 S.E.2d 521, 530-31 (1973) (same -- state antitrust law).
Significantly, the federal declaratory judgment statute
lacks an express provision empowering courts to decline a party's
request for declaratory relief.
(See footnote 1)
See 28 U.S.C. § 2201 (2000).
Federal courts have long consulted the UDJA, however, when
considering the question of a trial court's discretion to decline
declaratory relief. Public Serv. Comm'n v. Wycoff Co., 344 U.S.
237, 243, 97 L. Ed. 291, 295-96 (1952); Gross v. Fox, 496 F.2d
1153, 1155 n.10 (3d Cir. 1974); Aetna Cas. & Sur. Co. v. Quarles,
92 F.2d 321, 324 (4th Cir. 1937). See generally 12 James W.Moore, et al., Moore's Federal Practice § 57 App.02[1] (3d ed.
2002) (the UDJA provides guidance as to the scope and function of
the federal act). Because the North Carolina statute is based
upon the UDJA, federal law is instructive when examining the
discretion vested in our trial courts under section 1-257.
Despite the lack of a provision similar to section 6 of
the UDJA within the federal declaratory judgment statute, federal
trial courts are not obligated to issue declaratory judgments but
rather do so in their discretion. Wilton v. Seven Falls Co., 515
U.S. 277, 286-87, 132 L. Ed. 2d 214, 223 (1995); Foundation for
Interior Design Educ. Research v. Savannah Coll. of Art & Design,
244 F.3d 521, 526 (6th Cir. 2001); Aetna Cas. & Sur. Co. v.
Ind-Com Elec. Co., 139 F.3d 419, 424 (4th Cir. 1998); EMC Corp.
v. Norand Corp., 89 F.3d 807, 810 (Fed. Cir. 1996), cert. denied,
519 U.S. 1101, 136 L. Ed. 2d 730 (1997). The federal declaratory
judgment statute thus confers a power upon the court, not a right
upon litigants. Wilton, 515 U.S. at 287, 132 L. Ed. 2d at 223
(quoting Wycoff Co., 344 U.S. at 241, 97 L. Ed. at 294-95);
Beacon Constr. Co. v. Matco Elec. Co., 521 F.2d 392, 397 (2d Cir.
1975).
In contrast to the federal declaratory judgment
statute, section 1-257 of the NCUDJA explicitly gives courts
discretion to decline requests for declaratory relief. Moreover,
other NCUDJA provisions speak to the power of courts to grant
such judgments, not to any obligation to do so. N.C.G.S. § 1-253
(courts have the power to declare legal status); N.C.G.S. §
1-254 (courts have the power to construe and validate legalinstruments); see also N.C.G.S. § 1-255 (describing those who may
apply for declaratory relief). Thus, while federal courts have
construed the federal act to allow trial courts to grant or
decline declaratory relief in their discretion, the NCUDJA has
explicitly accorded this discretion to our trial courts.
The United States Supreme Court has noted that trial
courts are more adept than appellate courts at fact-finding,
litigation supervision, and the application of facts to fact-
dependent legal standards. Salve Regina Coll. v. Russell, 499
U.S. 225, 233, 113 L. Ed. 2d 190, 199 (1991). These
institutional advantages make it appropriate for trial courts
to have some degree of discretion to decline requests for
declaratory relief:
We believe it more consistent with the
[declaratory judgment] statute to vest
[trial] courts with discretion in the first
instance, because facts bearing on the
usefulness of the declaratory judgment
remedy, and the fitness of the case for
resolution, are peculiarly within their
grasp. . . . [P]roper application of the
abuse of discretion standard on appellate
review can, we think, provide appropriate
guidance to [trial] courts.
Wilton, 515 U.S. at 289, 132 L. Ed. 2d at 225 (citing First
Options of Chicago, Inc. v. Kaplan, 514 U.S. 938, 948, 131 L. Ed.
2d 985, 996 (1995); Miller v. Fenton, 474 U.S. 104, 114, 88 L.
Ed. 2d 405, 413 (1985)). Thus, federal trial courts have
discretion to stay or dismiss an action seeking declaratory
relief at any point before entry of judgment. DeNovellis v.
Shalala, 124 F.3d 298, 313 (1st Cir. 1997); Centennial Life Ins.
Co. v. Poston, 88 F.3d 255, 257 (4th Cir. 1996). Similarly, our trial courts are in a better position
than appellate courts, in some instances, to assess the
appropriateness of particular legal relief, and therefore an
abuse of discretion standard is applied to the trial court's
decision to grant or deny relief. State v. Julian, 345 N.C. 608,
611, 481 S.E.2d 280, 282 (1997) (trial court is in a better
position than appellate court to determine if a new trial is
necessary); Hill v. Hanes Corp., 319 N.C. 167, 179, 353 S.E.2d
392, 399 (1987) (granting of relief under Rule 60(b) requires
resolution of questions more properly suited for trial courts);
cf. Stanback v. Stanback, 287 N.C. 448, 459, 215 S.E.2d 30, 38
(1975) (upon a sufficient affidavit, granting of order compelling
inspection of documents rests in the trial court's discretion).
As demonstrated by the language of section 1-257, and more fully
explained below, the propriety of declaratory relief in any
particular situation depends upon whether it will actually
resolve the controversy at hand. Our trial courts are well
suited to conduct this inquiry under the NCUDJA.
Because North Carolina trial courts are expressly
accorded discretion under the very statute creating the
declaratory judgment remedy, N.C.G.S. § 1-257, and because trial
courts are best positioned to assess the facts bearing on the
usefulness of declaratory relief in a particular case, compare
Hill, 319 N.C. at 179, 353 S.E.2d at 399, with Salve Regina
Coll., 499 U.S. at 233, 113 L. Ed. 2d at 199, the trial court's
decision to decline a party's request for declaratory relief isreviewed under the abuse of discretion standard. See Wilton, 515
U.S. at 289, 132 L. Ed. 2d at 224.
The express language of section 1-257 necessarily
guides the exercise of the trial court's discretion. The trial
court may decline to grant declaratory relief where it would not
terminate the uncertainty or controversy giving rise to the
proceeding. N.C.G.S. § 1-257. The preeminent treatise on
declaratory judgments sets forth two criteria to aid in the
interpretation of this language. Borchard, Declaratory Judgments
at 299. According to Professor Borchard, a declaratory judgment
should issue (1) when [it] will serve a useful purpose in
clarifying and settling the legal relations at issue, and
(2) when it will terminate and afford relief from the
uncertainty, insecurity and controversy giving rise to the
proceeding. Id. When these criteria are not met, no
declaratory judgment should issue. Id. Thus, declaratory
judgments should not be made 'in the air,' or in the abstract,
i.e. without definite concrete application to a particular state
of facts which the court can by the declaration control and
relieve and thereby settle the controversy. Id. at 306.
Similar criteria have guided the discretion of other
courts in issuing declaratory relief. Federal courts have long
cited to Borchard's treatise with approval when discussing the
discretion of a trial court to enter declaratory judgment. See,
e.g., Wilton, 515 U.S. at 288, 132 L. Ed. 2d at 224; State Farm
Fire & Cas. Co. v. Mhoon, 31 F.3d 979, 983 (10th Cir. 1994);
Natural Res. Def. Council, Inc. v. U.S. Envtl. Prot. Agency, 966F.2d 1292, 1299 (9th Cir. 1992); Grand Trunk Western R.R. Co. v.
Consolidated Rail Corp., 746 F.2d 323, 326 (6th Cir. 1984);
McCorkle v. United States, 559 F.2d 1258, 1263 (4th Cir. 1977),
cert. denied, 434 U.S. 1011, 54 L. Ed. 2d 755 (1978). State
appellate courts have also interpreted their versions of the UDJA
as according trial courts similar discretion. See, e.g., Grimm
v. County Comm'rs of Washington Cty., 252 Md. 626, 632, 250 A.2d
866, 869 (1969); Allstate Ins. Co. v. Firemen's Ins. Co., 76 N.M.
430, 433-34, 415 P.2d 553, 555 (1966); Sullivan v. Chafee, 703
A.2d 748, 751 (R.I. 1997); Bonham State Bank v. Beadle, 907
S.W.2d 465, 468 (Tex. 1995). Notably, our Court of Appeals has
made recent use of Borchard's analysis. Coca-Cola Bottling Co.
Consol. v. Durham Coca-Cola Bottling Co., 141 N.C. App. 569, 578,
541 S.E.2d 157, 163 (2000) (discussing Borchard's treatise),
disc. rev. denied, 353 N.C. 370, 547 S.E.2d 433 (2001); see also
Farber v. N.C. Psychology Bd., ___ N.C. App. ___, ___, 569 S.E.2d
287, 299 (2002) (citing Coca-Cola, 141 N.C. App. at 577-79, 541
S.E.2d at 163-64).
Consideration of these well recognized principles leads
us to conclude that section 1-257 permits a trial court, in the
exercise of its discretion, to decline a request for declaratory
relief when (1) the requested declaration will serve no useful
purpose in clarifying or settling the legal relations at issue;
or (2) the requested declaration will not terminate or afford
relief from the uncertainty, insecurity, or controversy giving
rise to the proceeding. The trial court's decision to decline a
request for declaratory relief will be overturned only upon ashowing that it has abused its discretion, i.e., the recognized
criteria have been ignored, or the decision is otherwise
manifestly unsupported by reason or . . . so arbitrary that it
could not have been the result of a reasoned decision. Briley
v. Farabow, 348 N.C. 537, 547, 501 S.E.2d 649, 656 (1998).
Although our statute empowers a trial court to decline
a request for declaratory relief under certain circumstances,
section 1-257 should not be applied to thwart a properly
presented constitutional challenge. Our courts are obligated to
protect fundamental rights when those rights are threatened.
Corum v. University of N.C., 330 N.C. 761, 783, 413 S.E.2d 276,
290, cert. denied, 506 U.S. 985, 121 L. Ed. 2d 431 (1992). To
that end, every person for an injury done him in his lands,
goods, person, or reputation shall have remedy by due course of
law. N.C. Const. art. I, § 18. Our State Constitution
admonishes that [a] frequent recurrence to fundamental
principles is absolutely necessary to preserve the blessings of
liberty. N.C. Const. art. I, § 35. Therefore, where it
'clearly appears either that property or fundamental human
rights are denied in violation of constitutional guarantees,'
Jernigan v. State, 279 N.C. 556, 562, 184 S.E.2d 259, 264 (1971)
(quoting Roller v. Allen, 245 N.C. 516, 518, 96 S.E.2d 851, 854
(1957)), and where a statutory provision is specifically
challenged by a person directly affected by it, id. (citing Wall,
247 N.C. at 519-20, 101 S.E.2d at 416), declaratory relief as to
the constitutional validity of that provision is appropriate.
Id.; see also Malloy v. Cooper, 356 N.C. 113, 118, 565 S.E.2d 76,79-80 (2002). In other words, when the requested declaration
satisfies the recognized criteria we articulate above, the trial
court has no discretion to decline the request. In any event,
when the trial court exercises its statutory discretion, its
action should be guided by the rule we have followed for many
years: '[C]ourts will not entertain or proceed with a cause
merely to determine abstract propositions of law.' Roberts v.
Madison Cty. Realtors Ass'n, 344 N.C. 394, 399, 474 S.E.2d 783,
787 (1996) (quoting Peoples, 296 N.C. at 147, 250 S.E.2d at 912).
In the instant case, the trial court properly declined
defendant's request for issuance of declaratory relief. At the
time the trial court dismissed defendant's counterclaim,
defendant had already received the relief sought: removal of the
DVPO and a finding that its imposition was unwarranted. The
trial court concluded, as a matter of law, that no domestic
violence had occurred, and this determination exonerated
defendant from any allegations of wrongdoing. The trial court's
disposition had the effect of leaving defendant exactly where he
was prior to the filing of plaintiff's complaint -- free from the
taint of wrongful accusation or legal detriment. Cf. Brisson v.
Kathy A. Santoriello, M.D., P.A., 351 N.C. 589, 593, 528 S.E.2d
568, 570 (2000) (voluntary dismissal by the plaintiff returns the
plaintiff to the legal position enjoyed prior to filing of the
complaint); N.C.G.S. § 50B-6 (DVA shall not be construed to grant
any person legal status for any purpose other than those
expressly discussed therein). It also eliminated the possibility
that defendant may again become subject to the DVA based uponplaintiff's unfounded allegations. See Whedon v. Whedon, 313
N.C. 200, 210, 328 S.E.2d 437, 443 (1985) (involuntary dismissal
acts as a final adjudication on the merits and ends a lawsuit);
see also 2 G. Gray Wilson, North Carolina Civil Procedure § 41-1,
at 33 (1995) (same). Therefore, the trial court's resolution
eliminated any present or future legal effect the DVA might have
on defendant as a result of plaintiff's complaint. Because
defendant was not subject to the provisions of the DVA at the
time the trial court addressed defendant's counterclaim and
because he made no showing that he was threatened with further
litigation under the DVA, a declaration as to the
constitutionality of the DVA could not alter defendant's legal
position. Thus, issuance of a declaratory judgment under these
circumstances would have been improvident.
We have generally held that temporary restraining
orders, such as the DVPO issued in the present case, may be
issued to prohibit potentially wrongful acts and preserve the
status quo pending judicial resolution of plaintiff's claim.
See Seaboard Air Line R.R. Co. v. Atlantic Coast Line R.R. Co.,
237 N.C. 88, 94, 74 S.E.2d 430, 434 (1952); Roberts, 344 N.C. at
399, 474 S.E.2d at 787 (an injunction is available in any case
where it may provide significant benefits that outweigh its
disadvantages). Violation of many provisions of this DVPO could
conceivably have led to criminal sanction. See N.C.G.S. §
14-277.3 (2001) (defining crime of stalking); State v. Roberts,
270 N.C. 655, 658, 155 S.E.2d 303, 305 (1967) (defining common-
law crime of assault). Defendant obviously does not claim he wasunconstitutionally restrained from engaging in criminally
punishable behavior.
Defendant's counterclaim made various broadside attacks
on the DVA but included no specific allegations as to how this
particular defendant was unconstitutionally or adversely affected
by its provisions in any significant way. At the time of the
hearing on defendant's counterclaim, none of defendant's rights
were encumbered. Moreover, no specific anticipated encumbrances
were described among the allegations of defendant's counterclaim.
Because it was unnecessary to mount this broad constitutional
attack on the DVA to protect defendant's rights, the trial
court's constitutional examination of the DVA in this context
would have been merely academic in nature.
As we have noted before, the DVA is an effort on the
part of the duly elected legislature to respond to the serious
and invisible problem of domestic violence. State v. Thompson,
349 N.C. 483, 486, 508 S.E.2d 277, 279 (1998) (discussing the
impetus behind enactment of the DVA, Act of May 14, 1979, ch.
561, 1979 N.C. Sess. Laws 592). As such, a ruling upon the
facial constitutionality of the DVA should be made only when
necessary and then only in a clearly defined factual setting.
Defendant does not assign as error that the trial court
abused its discretion, and we discern no abuse of discretion in
the proceedings below. Although the order is, admittedly,
phrased in terms of mootness, the trial court apparently realized
that the broad declaratory ruling requested by defendant would
serve no useful purpose in terminating the discrete controversyat hand. Since the trial court would reach the same conclusion
as we have under the proper legal standard, remand is
unnecessary. Accordingly, the decision of the Court of Appeals
is reversed.
REVERSED.
Footnote: 1 A discretionary provision was omitted from the federal
statute in the interest of statutory brevity, not as part of any
effort to deny federal courts the discretion to decline a request
for declaratory relief. Edwin Borchard, Declaratory Judgments
313 (2d ed. 1941).
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