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(Cite
as: 701 N.W.2d 421)
Supreme
Court of South Dakota.
The
PEOPLE of the State of South Dakota in the Interest
of O.S., Child(ren), and concerning S.E.H., Appellant,
andM.S.,
Interested Party.
No.
23420.
Considered
on Briefs May 23, 2005.
Decided
July 13, 2005.
*423
Thomas M. Diggins, Pennington County Public Defender's Office, Rapid City,
South Dakota, Attorneys for appellant Mother S.E.H.
Lawrence
E. Long, Attorney General, Kirsten E. Jasper, Assistant Attorney General,
Pierre, South Dakota, Attorneys for appellee State of South Dakota.
MEIERHENRY,
Justice.
This
is an appeal from a Final Dispositional Order terminating Mother's
parental rights to her minor child, O.S., a member of
the Cheyenne River Sioux Tribe.
FACTUAL
BACKGROUND
The
termination of Mother's parental rights to O.S. was ultimately due
to her alcoholism. Mother
had seven children prior to O.S. and had been involved
with social services in another state. Her
parental rights to one of the children had been terminated.
The
other children were being raised by their grandmothers. Mother
became aware that she was four months pregnant with O.S.
during an involuntary commitment to a detoxification facility. The
Department of Social Services (DSS) entered into a case plan
with her to address her alcohol dependence. She
was placed in an alcohol treatment facility for the remainder
of her pregnancy.
She
gave birth to O.S., a Native American child, in November
of 2002. Fetal
Alcohol Effect was suspected but not confirmed. Mother
and child remained at the treatment facility until February 2003,
when Mother left against the staff's advice. Within
three days, Mother relapsed. She
then re-entered the facility and remained there until being discharged
on April 1, 2003. Within
a month after her discharge, she again relapsed. She
checked herself back into the detoxification facility, at which time
O.S. was removed from her custody. The
next several months were fraught with relapses culminating in a
petition to terminate Mother's parental rights to O.S.
*424
On
August 4, 2003, O.S. was adjudicated as an abused and
neglected child. The
Cheyenne River Sioux Tribe (CRST) intervened on August 11, 2003.
See
25 U.S.C. § 1911(c).
A
number of review hearings followed. Throughout
this process, the DSS social worker assigned to the case
made various efforts to reunite the family, all of which
were unsuccessful. A
final dispositional hearing to terminate parental rights was held on
July 12, 2004.
Because
of O.S.'s status as a Native American, the Indian Child
Welfare Act (ICWA) applied to the proceedings. Pursuant
to ICWA, the testimony of a qualified expert witness was
required to terminate parental rights. 25
U.S.C. § 1912(f).
To
meet this requirement the State offered the testimony of Sarah
Trimble, who had been a social worker with DSS for
over four years. The
trial court qualified Trimble as an expert witness over the
objection of Mother and CRST. Trimble testified that continued custody
of O.S. by Mother would likely result in serious emotional
or physical damage to O.S.
The
Tribe sought to offer testimony from its ICWA expert by
telephone. The
Tribe's plan to have its expert telephonically testify was not
brought before the court until the morning of hearing. The
court denied the telephonic testimony because it was untimely offered
and because the judge felt it would have been difficult
to judge credibility over the telephone. Ultimately,
the trial court terminated the parental rights of Mother. Mother
appeals and raises three issues.
ISSUES
I.
Whether
the trial court erred by qualifying the State's ICWA expert.
II.
Whether
the trial court erred by refusing to allow the intervening
Tribe's proposed ICWA expert witness to appear telephonically at the
final disposition hearing.
III.
Whether
the trial court erred by finding that serious emotional or
physical damage would occur if O.S. were returned to the
care of Mother.
STANDARD
OF REVIEW
In abuse and neglect cases
where termination of parental rights is sought, the evidence must establish
beyond a reasonable doubt that “continued custody of the child by the
parent or Indian custodian is likely to result in serious emotional or
physical damage to the child.” People
ex rel. M.H., 2005
SD 4, ¶ 10, 691 N.W.2d 622, 624-25 (citing 25 U.S.C. § 1912(f)).
The evidence must include the testimony of a qualified expert. Id.
The standard of review for a trial court's qualification of an expert
witness is abuse of discretion. In
re D.M., 2003 SD 49,
¶ 19, 661 N.W.2d 768, 773. We recently stated:
We
do have firm guidance as to whom shall be expert
witnesses in South Dakota: A
witness is an expert witness and is qualified to give
expert testimony if the judge finds that to perceive, know
or understand the matter concerning which the witness is to
testify, requires special knowledge, skill, experience or training and that
the witness has the requisite special knowledge, skill, experience or
training. The
qualifications and competency of a witness to give opinion evidence
is primarily in the discretion of the trial court and
his ruling in determining qualifications will not be disturbed unless
there is no evidence that the witness had the qualifications
of an expert or the trial court has proceeded upon
erroneous legal standards.
People
ex rel. M.H.,
2005 SD 4, ¶ 10,
691 N.W.2d at 625 (quoting Matter
of K.A.B.E,
325 N.W.2d 840, 843-44 (S.D.1982)).
*425 The
underlying task of the expert's testimony in ICWA cases is to provide
the court with an understanding of the social and cultural aspects of
Native American families and the childrearing practices of the child's
tribe. We said:
“This
testimony is to provide the court with knowledge of the
social and cultural aspects of Indian life to diminish the
risk of any cultural bias.”
In
re L.N.W.,
457 N.W.2d 17, 18 (Iowa App.1990)....
“One
of the problems the ICWA sought to correct was the
failure of welfare workers to understand Indian culture and practices
concerning the raising of children.”
In
re D.S.,
577 N.E.2d 572, 576 (Ind.1991) (reversing for failure of trial
court to inquire into expert witnesses' qualifications relating to placement
of Native American Indian children). “[E]xperts
should possess more than simply substantial education and experience in
the area of their specialty. Rather,
they should have expertise in, and substantial knowledge of, Native
American families and their childrearing practices.”
Matter
of K.H. and K.L.E.,
[294 Mont. 466] 981 P.2d [1190] at 1193. Such
testimony
is a “prerequisite”
to the termination of parental rights under ICWA. Id.
Id.
¶ 11,
691 N.W.2d at 626.
The abuse of discretion standard
also applies to a trial court's decision regarding telephonic testimony.
See State
v. Brown, 285 N.W.2d
843, 845 (S.D.1979) (“A trial judge is vested with considerable discretion
in regulating the manner of examination of witnesses and his exercise
of that discretion will not be disturbed unless it has been abused or
substantial harm has improperly been done to the complaining party.”).
The trial court's findings of fact are reviewed under the
clearly erroneous standard. In
re T.A., 2003 SD 56,
¶ 5, 663 N.W.2d 225, 229. “Therefore, the trial court's
decision will be set aside only if after a review of all the evidence,
we are left with a ‘definite and firm conviction that a mistake has been
made.’ ” Id.
(citing Matter of A.M.,
292 N.W.2d 103, 105 (S.D.1980)).
DECISION
Qualification
of the State's ICWA Expert
Mother
contends on appeal that the trial court did not have before it the necessary
foundational evidence to qualify the State's witness, Sarah Trimble, as
an ICWA expert. Relying on our recent opinion in People
ex rel. M.H., 2005
SD 4, 691 N.W.2d 622, Mother claims that Trimble did not exhibit sufficient
knowledge of the customs and culture specific to the child's tribe, CRST.FN1
Although challenging Trimble's qualifications, Mother does not argue that
Trimble lacked an understanding of Native American culture nor that Trimble's
description of CRST's childrearing practices was inaccurate. Rather,
she argues that the State had not sufficiently established a foundation
for Trimble's expertise because Trimble lacked experience with and knowledge
of CRST specifically.
FN1.
At
trial, Mother's objection to the State's expert was a general
objection devoid of the specific grounds now advocated on appeal.
It
should be noted that because People
ex rel. M.H.
was decided several months after the trial in this case,
neither the trial court nor the parties had the benefit
of our decision. The
final dispositional hearing in this case was held on July
12, 2004. People
ex rel. M.H.
was decided on January 5, 2005.
A trial court's qualification
of an expert depends on the foundational evidence presented at trial.
We determined in People
ex rel. M.H. that based
on the evidence, the trial court had abused its discretion in qualifying
the proposed expert.*426
In that case, we emphasized the importance of the expert's
foundational knowledge of the child's tribe and its childrearing practices.
Specifically, we determined that the expert was unable to
“articulate the cultural or religious differences between the tribes he
worked with and the CRST,” was unable to “identify the Lakota kinship
structure or who was primarily responsible for raising the children in
that structure” and was “unable to identify any services offered by the
CRST.” Id.
¶ 13, 691 N.W.2d at 626-27. Additionally, the expert's
knowledge was called into question by evidence and testimony offered by
the tribe disputing the accuracy and reliability of the proposed expert's
opinion and the underlying knowledge upon which that opinion was based.
Id.
¶ 15 n. 7, 691 N.W.2d at 627 n. 7.
In
contrast, a review of the record in the case before
us shows that the State's expert had substantial knowledge of
Indian culture and childrearing practices. She
had gained the knowledge through a variety of experiences throughout
her career. Her
experiences included participation in various ICWA training courses, some of
which were conducted by Native American persons. She
also had extensive experience working with Native American families. Part
of the experience with Native American families was gained during
the last four years in her employment as a social
caseworker for DSS. Half of her cases involved Native Americans.
She
explained that she worked “with
both parents and children on voluntary case management, as well
as reunification of children in the home, connecting them up
with resources and ensuring that the kids knew about their
culture.”
She
testified that this training and experience had made her familiar
with the key elements of Native American parenting techniques and
childrearing practices, which she described in detail. She
also had worked with Native Americans at two of her
previous jobs. One
of the jobs was with the Black Hills Workshop, where
she worked for four years. As
part of her duties at the workshop, she took clients
to various powwows, hoop dances and other cultural activities. The
other job was with Violence Against Women Incorporated as a
sexual assault advocate for over two years. Again,
approximately half of her clients were Native Americans. Her
duties included supporting and advocating for the clients at the
criminal proceedings and also “connect[ing]
them up in the community if they wanted to access
cultural resources.”
Most
of her work was with the Oglala Sioux Tribes. In
addition to the familiarity with Native American culture gained from
her work, she was personally familiar with the culture because
she had family members who were Native American.
In
preparation for her testimony in this case, she contacted the
child's Tribe to verify that her understanding of Native American
childrearing practices was consistent with CRST's practices. Trimble
testified that she had contacted the Tribe via telephone and
was eventually transferred to someone willing to speak to her
about the childrearing practices. She
verified from this conversation that CRST's childrearing practices were similar
to those with which she was familiar.
As we have consistently
held, the trial court has discretion in determining the qualifications
of an expert witness. Here there was substantial evidence
of Trimble's expertise in Native American culture and the childrearing
practices of Native Americans. There was also evidence that
her understanding of general Native American childrearing practices was
in accord with CRST's specific practices. Conversely, there
was little evidence before the trial court that questioned*427
the knowledge and accuracy of Trimble's expertise. Considering
the foundation laid by the State and the lack of any specific challenge
to this expertise by Mother, the trial court did not abuse its discretion
in qualifying the expert.
Exclusion
of Telephonic Testimony
At the final dispositional
hearing, the attorney for the Tribe offered the telephonic testimony of
its own ICWA expert. The matter of the telephonic appearance
was brought before the court for the first time on the morning of the
hearing. The trial court refused to allow such an appearance,
partly due to the difficulty in judging the credibility of telephonic
testimony. Mother asserts that this refusal to allow telephonic
testimony was error.
Mother
cites no authority for the premise that a trial court
is required to allow telephonic testimony. She
concedes that it was within the trial court's discretion to
allow or exclude such testimony. The
trial court's responsibility at a dispositional hearing is to “consider
evidence regarding proper disposition of the child best serving the
interests of the child with due regard to the rights
and interests of the child's parents, guardian, custodian, other parties
respondent, the public and the state.”
SDCL
26-7A-90. Evidence
at the dispositional phase “may
include social study reports, mental and medical examination and evaluation
reports, homestudy investigation reports and any other evidence related to
appropriate disposition of the child.”
Id.
An expert's testimony can also be offered by deposition. SDCL
26-7A-79.
Here the trial court's exclusion
of the telephonic testimony of the Tribe's proposed expert was based on
the untimeliness of the request and the court's legitimate concern over
its ability to judge the credibility of the telephonic testimony.FN2
Additionally, Mother does not indicate how she was prejudiced by
the exclusion. “The trial court has broad discretion to determine
the mode and manner of witness' testimony and will be reversed only for
abuse of that discretion.” State
v. Alidani, 2000 SD
52, ¶ 17, 609 N.W.2d 152, 157. We cannot say that
the trial court abused its discretion by excluding the testimony. See
Byrd v. Nix,
548 So.2d 1317, 1319-20 (Miss.1989). See
also In re Guardianship/Conservatorship
of Van Sickle, 694
N.W.2d 212, 218 (N.D.2005).
FN2.
The
trial court addressed the Tribe's request as follows:
The
first time I heard from you was this morning when
you requested a telephonic conference so your expert witness could
appear telephonically. Not
now or no way by telephone. You're
judging credibility of the witness ....,
but you can't judge it on the telephone and it's
not going to happen telephonically, period.
Serious
Emotional or Physical Damage
Under ICWA, the court must
make “a determination, supported by evidence beyond a reasonable doubt,
including the testimony of a qualified expert witness, that the continued
custody of the child by the parent or Indian custodian is likely to result
in serious emotional or physical damage to the child.” 25 USC § 1912(f).
We have determined that the testimony of a qualified expert witness
was provided. Mother contends that despite this testimony,
the evidence was insufficient to meet the ‘beyond a reasonable doubt’
burden of proof. She argues that although she does have alcohol
abuse problems, the State established no causal relationship between her
alcohol abuse and potential emotional and physical damage to the child.
Essentially, her argument is that while there is substantial
evidence of her alcohol abuse, there is little evidence *428
that her alcohol abuse and resulting behaviors are likely to harm the
child.
Initially,
we emphasize that the evidence shows a very serious long-term
alcohol abuse problem.FN3
It
takes little imagination to foresee the negative consequences such abuse
would have in respect to raising a child. More
importantly, some of these foreseeable consequences had already manifested. At
birth, O.S. showed signs of Fetal Alcohol Effect. There
was testimony at the hearing that O.S. was behind developmentally
and was very small for his age. There
was also testimony that at least once prior to DSS
taking custody of the child, Mother, while on an extended
drinking binge, had forgotten with whom she had left O.S.
Only
after checking with numerous friends was Mother able to locate
O.S. There
was also testimony that Mother had been involved in two
verbally and possibly physically aggressive altercations with O.S.'s father in
the presence of O.S. Alcohol
was involved and police were called to the scene on
both occasions. After
DSS took custody, Mother's repeated and unsuccessful attempts at rehabilitation
resulted in her spending little time with O.S. and caused
O.S. to remain in the care of third parties. During
these times, Mother would occasionally miss scheduled visitations due to
intoxication, and on one occasion she attempted to visit O.S.
while intoxicated. The
trial court recognized that Mother loved her child but found
that her inability to fulfill her role as a parent
and guardian made anything less than termination contrary to the
child's best interests and likely to result in serious physical
or emotional damage to O.S. We cannot with a definite
and firm conviction say that the trial court erred.
FN3.
Mother
admits to having started drinking at age 15. She
is now nearly 40 years old. She
has attempted rehabilitation a number of times without success and
her frequent relapses are generally severe. She discovered she was
pregnant with O.S. only after she had been involuntarily committed
to a detoxification facility, at which time her PBT was
nearly .40, which, by comparison, would be five times the
legal limit for driving.
We
affirm.
GILBERTSON,
Chief Justice, and SABERS and KONENKAMP, Justices, concur.
ZINTER,
Justice, concurs in result.ZINTER, Justice (concurring in result).
I
join the Court's opinion on all issues except the ICWA
expert witness dispute. I
concur in result on that issue because this Court has
routinely approved the qualification of ICWA experts with equal or
lesser qualifications than those presented in this record. See
Matter
of K.A.B.E.,
325 N.W.2d 840 (S.D.1982)
FN4;
In
re D.M.,
2003 SD 49, 661 N.W.2d 768.FN5
*429
Therefore, the trial court correctly concluded that this expert met
the requirements of ICWA.
FN4.
Although
the case involved the Lower Brule Sioux Tribe, the extent
of the qualifications approved by this Court in K.A.B.E.,
325 N.W.2d at 843, consisted only of the following:
The
witnesses who testified were a social worker with the South
Dakota Department of Social Services and the Director of the
Children's Inn in Sioux Falls. The
social worker has worked as such for over four years.
She
has a bachelor of arts degree in social work and
has had contact with Indians on a regular basis. The
Children's Inn is a shelter and resource center for children
and parents involved with child abuse. The
Director had a bachelor of science degree in social work
and a year towards her master's degree. Approximately 30% of
the children utilizing the Children's Inn are Indians.
FN5.
Although
the case involved the Rosebud Sioux Tribe, the extent of
the qualifications approved by this Court in D.M.,
2003 SD 49, ¶ 20,
661 N.W.2d at 773, consisted only of the following:
[The
proposed expert's] testimony revealed that she possessed the following qualifications:
she
managed the child protection program for five counties in South
Dakota, including an area encompassing the Pine Ridge Indian Reservation;
she
had been employed by DSS for approximately fifteen years; she
had prior experience in handling delinquent youth; she
worked with tribal court and tribal agencies; she
worked with Native American clients of the child protection program;
she
had attended several trainings relating to issues of family violence
and child services for Native American families; she
had attended trainings on ICWA and had previously been qualified
as an ICWA expert.
However,
this Court affirms on the basis that the expert met
the requirements of People
ex rel. M.H.,
2005 SD 4, 691 N.W.2d 622. That
case imposed a new tribal specificity requirement
FN6
for qualification as an ICWA expert. Because
I disagree with the factual and legal analysis in M.H.,
I concur in result. See
M.H.,
¶ 26
et
seq.
(Zinter,
J., dissenting).
FN6.
It
is noteworthy that there is nothing in the text of
ICWA that requires specialized knowledge of the child's tribe. The
Act merely provides:
No
termination of parental rights may be ordered in such proceeding
in the absence of a determination, supported by evidence beyond
a reasonable doubt, including testimony of qualified expert witnesses, that
the continued custody of the child by the parent or
Indian custodian is likely to result in serious emotional or
physical damage to the child.
25
USCA
§ 1912(f)
(1978).
The
weakness of M.H.
is exemplified by this case. The
record reflects that this proposed expert had familiarity with Native
American culture and childrearing practices, but had no knowledge of
the Cheyenne River Sioux Tribe's (CRST's) specific practices. See
supra
at ¶¶ 12-13.
However,
this Court approves the expert's qualifications on the sole basis
that, in preparing to testify, the expert contacted the CRST
by telephone and “was
eventually transferred to someone willing to speak to her about
the childrearing practices”
of the CRST. Supra
¶ 13.
Based
upon this one phone call to “someone”
confirming that general Native American practices were similar to those
of the CRST, the Court concludes that the expert met
the new tribal specificity standards of M.H.
Ironically,
this “confirmation
of similar practice methodology”
was rejected in M.H.
Moreover, this expert's knowledge of the CRST's specific practices is
even less than what was found to be inadequate in
M.H.
The expert in M.H.
had far more knowledge of specific cultural and childrearing practices
based on fourteen years of work with several Tribes' Indian
people in the area of child abuse and ICWA and:
...
through his knowledge of the similarity of childrearing practices among
all regional tribes. His
particularized knowledge was established through his experience with the Yankton
Sioux Tribe and by talking with other experts. From
that experience, he was aware of the differences in culture,
but the similarity of childrearing practices. More
specifically, with respect to culture, [the expert] indicated that he
had “some
insight, but ...
not the particular cultural practices of the Cheyenne River Sioux
Tribe.”
However,
he then explained, without contradiction, that the Yankton Sioux Tribe
“is
culturally, fairly culturally similar to the other eight Sioux tribes
in South Dakota and North Dakota and I'm fairly familiar
with their cultures.”
Thus,
even under a “particular
culture”
requirement, there was some
record evidence*430
of similarity sufficient to satisfy the abuse of discretion standard
of review.
More
importantly, even if [the expert] possessed no knowledge of cultural
differences, an allegation not supported by the record, he unequivocally
testified that he did have “specific
knowledge of the childrearing practices.”
[The
expert] explained, again without contradiction, that there were not “significant
differences in childrearing practices among the nine Sioux Tribes. They
have different cultural practices, but the childrearing practices are essentially
the same.”
Consequently,
even though [the expert] admitted the four deficiencies noted by
this Court, he still possessed specific knowledge of the childrearing
practices necessary to assist the court in making a dispositional
decision under the ICWA.
M.H.,
2005 SD 4, ¶¶ 35-36,
691 N.W.2d at 630-31 (Zinter, J., dissenting).
Thus,
today's decision adds more confusion to this area of the
law. It
does so because the disqualified expert in M.H.
had substantially more
familiarity
with the specific
childrearing practices
of the CRST than the expert qualified in this case.
Moreover,
although the method of obtaining specific knowledge (by verifying comparative
practices with other Tribes) was specifically rejected in M.H.,
it is approved today. These
inconsistencies demonstrate why M.H.
should be reconsidered. Because
M.H.
was not well grounded in fact or law, I decline
to join that portion of today's opinion that applies it.
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