(Cite
as: 150 Cal.App.4th 1247)
In
re Vincent M.
Cal.App.
6
Dist., 2007.
Court
of Appeal, Sixth District, California.
In
re VINCENT M., a Person Coming Under the Juvenile Court
Law.
Santa
Cruz Human Resources Agency, Plaintiff and Respondent,
v.
Paz
M., et al., Defendants and Appellants.
No.
H030258.
May
17, 2007.
**322
Dana McRae, County Counsel, Jane M. Scott, Assistant County Counsel,
Shannon Sullivan, Assistant County Counsel, County of Santa Cruz, for
Respondent.
Carol
Koenig Under Appointment for the Court of Appeal, for Appellant
Paz M.
Janet
G. Sherwood, Corte Madera, Under Appointment by the Court of
Appeal, for Appellant Vincent M., Sr.
MIHARA,
J.
*1250
Appellants Paz M. (mother) and Vincent M., Sr. (father) are
the parents of Vincent M., Jr. (Vincent).
Two-year-old
Vincent was detained in July 2004.
At that time, he was living with mother in a
residential substance abuse treatment program in which she was participating.
Father was in prison, where he had been throughout Vincent's
life.
Mother immediately notified the Santa Cruz County Human Resources Agency
(the Agency) of her Sioux and Chippewa Indian heritage and
provided her tribal enrollment number.
The juvenile court took jurisdiction over Vincent, removed Vincent from
mother's custody, denied mother reunification services based on her prior
failures to reunify with her other seven children, and granted
father reunification services.
**323
Both parents appealed from the dispositional order and, among other
things, attacked the adequacy of the Agency's compliance with the
notice *1251
provisions of the Indian Child Welfare Act (ICWA).
This court reversed the juvenile court's order solely due to
lack of compliance with the ICWA's notice requirements and remanded
for compliance with those requirements.
After remittitur, with a Welfare and Institutions Code section
FN1
366.26 hearing pending, new notices were sent, and no tribe
indicated that Vincent was a member or eligible for membership.
Subsequently, in advance of the section 366.26 hearing, the
Turtle Mountain Band of Chippewa Indians (Turtle Mountain Chippewa) and
the Bureau of Indian Affairs (BIA) certified that Vincent was
a member of the Turtle Mountain Chippewa tribe.
The tribe sought a transfer of jurisdiction to its tribal
court, and it sought to intervene in the juvenile court
proceedings.
The juvenile court, utilizing the ?existing
Indian family doctrine,?
found that the ICWA did not apply.
Without applying the substantive provisions of the ICWA, the court
terminated parental rights and selected a permanent plan of adoption.
FN1.
Subsequent
statutory references are to the Welfare and Institutions Code unless
otherwise specified.
The
parents again appeal.
They claim that the juvenile court erred in utilizing the
?existing
Indian family?
doctrine to support its conclusion that the substantive provisions of
the ICWA did not apply here.
We conclude that the ?existing
Indian family?
doctrine is not valid, and that the juvenile court erred
in utilizing it to support its conclusion that the ICWA
did not apply to Vincent.
We reverse and remand for further proceedings in compliance with
the ICWA's substantive requirements.
I.
Background
Mother
is a long-time heroin addict.
Before Vincent's birth, mother had given birth to four drug-addicted
children.
These children, and her other children, had been removed from
her custody, and she had failed to reunify with them.
In 2000 and 2001, mother participated in an Indian substance
abuse treatment program in San Francisco.
In June 2002, when she was six months pregnant with
Vincent, she was arrested in Watsonville for being under the
influence of heroin.
She admitted that she had used heroin that day. Father
was in state prison continuously from 1991 to 2004.
Vincent was apparently conceived during a conjugal visit.
Vincent
was born in September 2002 in Wyoming.
On June 5, 2004, mother was pushing Vincent in his
stroller in a busy area of Santa Cruz when she
was detained by a police officer for possession of an
open container of alcohol.
Heroin was found in her pocket, and she admitted that
she had used heroin earlier that day and was feeling
its effects.
Mother asserted that she had recently relapsed after being ?clean
and sober for three years.?
Mother's *1252
local relative took Vincent to stay with her while mother
was in custody, and mother entered a residential substance abuse
treatment program after her release from custody.
Vincent resided with mother during this program, and she appeared
to be attentive to him and responsive to his needs.
On July 22, 2004, about a month after mother entered
the program, Vincent was detained by the Agency.
Mother immediately notified the Agency that she was an enrolled
member of an Indian tribe and provided her enrollment number.
She **324
identified her Indian heritage as Sioux and Chippewa.
On
July 26, 2004, the Agency filed a petition alleging that
Vincent came within the jurisdiction of the juvenile court under
section 300, subdivisions (b) and (j).
The
Agency sent out inadequate ICWA notices addressed to the Spirit
Lake Sioux tribe, the Turtle Mountain Chippewa tribe and the
BIA. Vincent was placed in a foster/adoptive home in August
2004.
In August 2004, the Turtle Mountain Chippewa tribe in North
Dakota notified the Agency that Vincent was neither enrolled nor
eligible for enrollment.
At
the October 5, 2004 jurisdictional/dispositional hearing, the court found the
allegations of the petition true, took jurisdiction, and removed Vincent
from mother's custody.
Father, who was still in prison but due to be
released very shortly, was granted reunification services, but mother was
denied services due to her failure to reunify with her
other children and her failure to make reasonable efforts to
treat the substance abuse problem that had led to her
prior failures to reunify.
Mother testified at the hearing that she had lived with
her paternal grandfather on a North Dakota Indian reservation in
2001 and 2002.
The court found that the ICWA did not apply, and
Vincent was placed in foster care.
Both mother and father appealed to this court from the
juvenile court's dispositional order.
In
March 2005, while the parents' appeal was pending, the Agency
recommended that the court terminate father's reunification services and schedule
a section 366.26 hearing.
Father had failed to make significant progress on his case
plan.
At the March 2005 six-month review hearing, the court found
that the ICWA did not apply and terminated reunification services.
It set a section 366.26 hearing for July 22, 2005.
The hearing was subsequently continued at the Agency's behest due
to the pendency of the appeal.
By this point, father was incarcerated in Oregon.
In
September 2005, this court filed its opinion in the parents'
appeal.
This court rejected most of their contentions challenging the jurisdictional
and dispositional orders, but it found meritorious their contentions that
the juvenile court had erred in implicitly finding that the
ICWA notices were adequate.
This court reversed and remanded for compliance with the ICWA's
notice provisions.
Pending finality of this court's decision, the section 366.26 *1253
hearing was rescheduled for January 2006.
The Agency was recommending termination of parental rights and a
permanent plan of adoption.
On
November 17, 2005, the Agency sent notices to numerous Indian
tribes and the BIA of the scheduled January 2006 hearing.
The tribes included the Spirit Lake Sioux (Spirit Lake) tribe
in North Dakota and the Turtle Mountain Chippewa tribe in
North Dakota.
These notices provided mother's Spirit Lake tribe enrollment number and
stated that mother had been treated at an Indian substance
abuse clinic in 2003.
The notices contained some misinformation.
Mother's Turtle Mountain Chippewa maternal great grandmother was identified as
?Mabel
Ironbear Smith Bruns?
instead of ?Mabel
Ironbear Smith Burns.?
The notices stated that mother had lived ?on
reservation in Arizona during pregnency [sic
]?
in ?2001
& 2002?
and ?1993,?
when she had actually lived on Wyoming and North Dakota
reservations.
In
November 2005, Frank Myrick, the Spirit Lake tribe's ICWA director,
contacted the Agency by telephone and stated that mother and
Vincent were both eligible for membership.
Because the Spirit Lake tribe had previously stated that Vincent
was not eligible for membership, the Agency**325
requested written confirmation.
Written confirmation was not forthcoming.
Vincent's
foster parents, with whom Vincent had been living continuously since
August 2004, were granted de facto parent status in December
2005.
This court's decision in the parents' appeal became final in
late December 2005.
On
January 13, 2006, the juvenile court held a hearing at
which it declined to make ICWA findings due to the
Spirit Lake tribe's inconsistent responses.
The court continued the matter for clarification of Vincent's status.
On January 27, 2006, the Agency filed an ?ICWA
UPDATE.?
The Agency reported that it had received two more telephone
calls from Myrick inquiring as to why he had not
yet received anything from the Agency.
When Myrick was told that the Agency needed confirmation in
writing of Vincent's status, Myrick complained about the Agency ?putting
up so many ?roadblocks'
for this case....?
At
a January 27, 2006 hearing, the court found that the
ICWA did not apply.
The section 366.26 hearing was rescheduled for February 17, 2006.
On February 15, 2006, mother's attorney filed a copy of
a letter from the Spirit Lake tribe stating that mother
was a member of the tribe and Vincent was ?a
descendant of the Spirit Lake Sioux Tribe?
but ?not
a member?
of the tribe.
The section 366.26 hearing was subsequently rescheduled for March 16,
2006.
The
social worker's report for the section 366.26 hearing stated that
the ICWA ?may
apply.?
Mother's uncle, who lived on the Spirit Lake reservation *1254
in North Dakota, had requested that he be considered as
a placement for Vincent, and the social worker had requested
an ICPC
FN2
assessment of the uncle.
The social worker expressed the belief that ?it
would definitely not be in this child's interests to be
moved from the placement with the prospective adoptive parents because
he is clearly bonded to them and has been thriving
in their care for nearly half of his life.?
The social worker reported that mother had recently been arrested
on narcotics charges.
FN2.
ICPC
is the Interstate Compact on Placement of Children.
(Fam.Code, §
7900.)
An ICPC assessment is used to assess the viability of
an out-of-state placement.
On
March 15, 2006, the BIA certified in writing that Vincent
was a member of the Turtle Mountain Chippewa tribe.
That same day, mother's attorney filed four documents on behalf
of the Turtle Mountain Chippewa tribe.
One document was an ?ORDER
ACCEPTING JURISDICTION.?
This document, which was signed by a Turtle Mountain Chippewa
Tribal Court judge, stated that the Turtle Mountain Chippewa Tribal
Court accepted jurisdiction over Vincent on March 15, 2006.
The second document was a motion by the Turtle Mountain
Chippewa tribe seeking to intervene in the juvenile court proceedings.
The third document was a motion seeking a transfer of
jurisdiction to the tribal court and dismissal of the state
court proceedings.
The fourth document was a ?NOTICE
OF INTERVENTION?
seeking copies of the state court documents and asking for
notice of all hearings.
The Agency filed opposition to these requests.
At
the scheduled March 16, 2006 hearing, the Agency conceded that
Vincent was a member of the Turtle Mountain Chippewa tribe,
but it argued that the court should still find that
the ICWA did not apply by applying the ?existing
Indian Family Doctrine.?
The Agency asked the court to order briefing on the
issue of whether the ICWA applied.
The court continued the section 366.26 hearing, requested briefing on
this issue, and scheduled a hearing for April 7, 2006
on the **326
Turtle Mountain Chippewa tribe's motions.
The court said:
?[H]ere's
this document that says [Vincent is a member of the
tribe]-seems like a great appellate issue.
However, then you have Crystal R.[
FN3],
so it's a really interesting case.?
The Agency's attorney admitted that the Agency was to blame
for the delay in the section 366.26 hearing ?because
of inappropriate or incomplete notice at the beginning of this
case.?
FN3.
Crystal
R. v. Superior Court
(1997) 59 Cal.App.4th 703, 69 Cal.Rptr.2d 414 was a Sixth
District Court of Appeal decision in which a panel of
this court accepted the existing Indian family doctrine and applied
it in a Santa Cruz County case.
On
April 7, 2006, Tara Smith filed an application to intervene
in the proceedings.
Smith was a member of the Spirit Lake tribe and
mother's first cousin, and she was also eligible for enrollment
in the Turtle Mountain Chippewa tribe because she had ?mixed
blood.?
Smith's paternal grandmother, Mabel Ironbear, who was also mother's paternal
grandmother, was a *1255
member of the Turtle Mountain Chippewa tribe.
Smith sought to provide Vincent with a home on the
Spirit Lake reservation in North Dakota, where she resided.
Mother's trial counsel asserted that Smith's intervention was dependent on
the application of the ICWA.
Smith
testified very briefly at the April 7, 2006 hearing.FN4
Shortly
after Smith began to testify, the court interrupted her testimony
because it had to take a verdict in another case.
The hearing was continued to May 5, 2006.
Mother's trial counsel noted that she expected the Turtle Mountain
Chippewa tribe's social worker to testify at the continued hearing
and asked if she could testify by telephone.
No decision was made on whether telephonic testimony would be
permitted.
FN4.
Smith
had been present at Vincent's birth, and she testified that
Vincent had been given an Indian name at the age
of three weeks.
On
May 4, 2006, mother's attorney informed the court and the
Agency that the Turtle Mountain Chippewa tribe ?is
now represented by counsel, Bernice Delorme.?
On May 5, 2006, the court informed the attorneys that
it was unavailable and that the hearing would have to
be rescheduled.
Mother's counsel indicated that Smith would be available to testify
in June. The hearing was continued to June 7, 2006,
and the court directed the Agency to provide notice of
the continued hearing date to the Turtle Mountain Chippewa tribe.
On May 11, 2006, the Agency sent notice of the
June 7, 2006 section 366.26 hearing to the Turtle Mountain
Chippewa tribe in North Dakota.
On
June 7, 2006, mother's attorney filed a request for a
continuance to permit Smith to testify at the hearing.
Her request stated that Smith would be available to testify
after July 17, 2006.
At the June 7 hearing, mother's attorney stated that Smith
could not afford transportation to the hearing, but mother's attorney
had arranged for her law firm to pay the cost
of transportation if the matter was continued.
Mother's counsel admitted that she had known of Smith's unavailability
since May 5. The Agency and Vincent's attorney opposed any
continuance.
The court denied the continuance request and struck Smith's earlier
testimony.
The
first issue addressed by the court at the June 7
hearing was whether the ICWA applied.
The Agency presented no evidence on this issue.
The Agency conceded that Vincent was ?one-quarter
Indian?:
?1/8
Sioux and 1/8 Chippewa.?
It also conceded that the Spirit Lake Sioux tribe's membership
requirements mandated ?a
**327
quarter Sioux?
while the Turtle Mountain Chippewa tribe's membership requirements mandated only
a total of ?one-quarter
Indian?
so long as there was some Chippewa ancestry.
The Agency *1256
further conceded that ?Mother
does have connections to Indian culture, but it's not the
Chippewa, it's Sioux.?
Mother testified that she and father were currently living on
the Spirit Lake Sioux reservation in North Dakota.
Mother
testified at the hearing.FN5
Mother
lived on the Spirit Lake Sioux reservation in 1998, 2001
and 2002.
Mother was a member of the Spirit Lake Sioux tribe,
and Vincent was a member of the Turtle Mountain Chippewa
tribe.
The Spirit Lake Sioux and the Turtle Mountain Chippewa are
?neighboring
tribes?
in North Dakota, and historically their children attended the same
schools.
There has been a lot of intermarriage between the two
tribes, and many Spirit Lake Sioux live on the Turtle
Mountain Chippewa reservation.
Mother's grandfather was ?full-blooded?
Spirit Lake Sioux and was born on the Spirit Lake
Sioux reservation.
Her grandmother was ?full-blooded?
Turtle Mountain Chippewa.
Mother's cousins' children are members of the Turtle Mountain Chippewa
tribe, while their parents and grandparents are members of the
Spirit Lake Sioux tribe.
One of mother's aunts and a number of her cousins
live on the Turtle Mountain Chippewa reservation.
FN5.
Mother
testified that she hoped that Vincent could be placed with
her great aunt Delvita Abraham, who lived on the Spirit
Lake Sioux reservation and was a member of the Spirit
Lake Sioux tribe.
Mother
has visited the Turtle Mountain Chippewa reservation and participated in
a number of ceremonies there, including ?[p]ow-wows,?
?sweats,?
?women
gatherings, [and] the gatherings for the children, [and] the elders.?
Some Turtle Mountain Chippewa members live on the Spirit Lake
reservation, and they have the opportunity to participate in Turtle
Mountain Chippewa events ?because
gatherings and our ceremonies are done together,?
and they ?go
back and forth?
to observe ?the
traditions of our tribes and family events.?
Mother
explained that, at the time of Vincent's birth, she had
been living on the Wind River Arapahoe reservation in Wyoming
with her Sioux and Chippewa cousins Alba and Silvia, who
are married to Arapahoe men, and her uncle David.
Vincent was given both an Indian birth name and an
Indian ?character
name.?
His Indian ?character
name?
is ?Wicasha
Hoksina,?
and his Indian ?birth
name?
is ?Smiley,?
which was the name of mother's Indian great grandfather.
David, who is a Sioux and Chippewa ?elder?
and a ?spiritual
advisor for the tribe,?
took Vincent to a special Indian ceremony when Vincent was
one week old, and Vincent returned with a medicine pouch,
moccasins, a ?longtail
roach?
made of porcupine quills, and a buffalo robe.
Because mother's father was dead, David served as Vincent's grandfather,
and he taught Vincent his ?first
language,?
?the
dialect of Lakota,?
which is the language of the Sioux.
*1257
Mother and Vincent lived on the Wind River reservation until
they came to California in June 2004.
Mother and Vincent participated in traditional Lakota Sioux ceremonies when
they lived on the Wind River reservation.
Because mother comes from ?a
line of chiefs and spiritual advisors which are medicine men,?
Vincent was ?considered
to be a gifted child among my tribe.?
The
Agency argued that the court should apply the existing Indian
family doctrine and find that the ICWA did not **328
apply.
It contended that mother and Vincent had a relationship with
the Spirit Lake Sioux tribe but not with the Turtle
Mountain Chippewa tribe, and therefore there was no existing Chippewa
Indian family.
The Agency and Vincent's attorney asserted that the court was
required to apply ?a
balancing test?
under which it weighed the interest of the Turtle Mountain
Chippewa tribe against Vincent's interest in maintaining his stable placement.
Vincent's
attorney submitted her own March 30, 2006 declaration recounting a
March 20 telephone conversation she had had with the Turtle
Mountain Chippewa tribe's ICWA coordinator Marilyn Poitra.
Poitra had told Vincent's attorney that the delay in identifying
Vincent as a member of the Turtle Mountain Chippewa tribe
was due to the fact that the tribe had only
recently been able to confirm mother's Turtle Mountain Chippewa ancestry.
Poitra said that the tribe ?would
have to figure out some of the details?
later, but it planned to ?place
Vincent with his great uncle on the Spirit Lake reservation?
as ?a
courtesy they did the Spirit [L]ake tribe.?
Vincent's attorney argued that Poitra's statements demonstrated that Vincent would
have no connection to the Turtle Mountain Chippewa tribe other
than his blood relationship and his membership.
Mother
and father argued that the existing Indian family doctrine was
a violation of the ICWA and Welfare and Institutions Code
section 360.6, FN6
and that Vincent was
part of an existing Indian family.
FN6.
See
footnote 8, infra.
The
juvenile court found that the ICWA did not apply.
?The
facts of this case demonstrate why we have the existing
Indian Family Doctrine, that it's not black and white.
This is a perfect example as to why the Court
has to do more than simply look at a declaration
from the Tribe of someone's membership.
[¶]
Turtle Mountain had ample opportunity to come forward and declare
that Vincent was a member of their tribe.
[¶]
Spirit Lake had ample opportunity as well and chose not
to.
Turtle Mountain came in belatedly, for reasons that are quite
suspect by this Court.
I wasn't there.
But listening to the evidence and the declaration, it's suspect.
[¶]
Vincent has no connection *1258
to Turtle Mountain that's found by this Court.
His mother has certainly connection to Spirit Lake. She's a
member there.
But the Court finds that the relationship between Vincent and
Turtle Mountain is inadequate to meet the Constitutional requirements.
[¶]
Vincent's interests versus the tribe's interest weigh heavily on the
side of Vincent's need for stability.
He's been in fost-adopt placement for the last two years,
over half of his life, and yanking him out of
that placement would be devastating for that young man.
[¶]
The interest of Turtle Mountain isn't close.
[¶]
The answer to [sic
]
Turtle Mountain contributed to this situation where he has been
in a stable placement for this long period of time.
[¶]
To allow Turtle Mountain's declaration to be the end of
the inquiry here would be to abandon Vincent's Constitutional Rights;
furthermore,
more importantly, it would be to totally disregard his best
interests.?
The
court then proceeded with the section 366.26 hearing.
It denied Smith's intervention petition, terminated parental rights, and selected
a permanent plan of adoption.
Mother and father filed timely notices of appeal.
II.
Discussion
A.
The
ICWA
When
it enacted the ICWA nearly three decades ago, Congress made
a number of **329
findings, which it codified.
?[T]here
is no resource that is more vital to the continued
existence and integrity of Indian tribes than their children and
...
the United States has a direct interest, as trustee, in
protecting Indian children who are members of or are eligible
for membership in an Indian tribe;
[¶]
...
[A]n alarmingly high percentage of Indian families are broken up
by the removal, often unwarranted, of their children from them
by nontribal public and private agencies and ...
an alarmingly high percentage of such children are placed in
non-Indian foster and adoptive homes and institutions ...
[¶]
...
[T]he States, exercising their recognized jurisdiction over Indian child custody
proceedings through administrative and judicial bodies, have often failed to
recognize the essential tribal relations
of Indian people and the cultural and social standards prevailing
in Indian communities and families.?
(25
U.S.C. §
1901.)
?[I]t
is the policy of this Nation to protect the best
interests of Indian children and to promote the stability and
security of Indian tribes and families by the establishment of
minimum Federal standards for the removal of Indian children from
their families and the placement of such children in foster
or adoptive homes which will reflect the unique values of
Indian culture, and by providing for assistance to Indian tribes
in the operation of child and family service programs.?
(25
U.S.C. §
1902.)
*1259
The ICWA defines ?Indian?
to include ?any
person who is a member of an Indian tribe?
and provides that an ?Indian
child?
is ?any
unmarried person who is under age eighteen and is either
(a) a member of an Indian tribe or (b) is
eligible for membership in an Indian tribe and is the
biological child of a member of an Indian tribe.?
FN7
(25
U.S.C. §
1903(3),
(4).)
?Indian
child's tribe?
is ?the
Indian tribe in which an Indian child is a member
or eligible for membership.?
(25
U.S.C. §
1903(5).)
FN7.
The
ICWA also defines ?Indian
tribe?
to limit it to federally recognized Indian tribes.
(25
U.S.C. §
1903.)
The
ICWA's substantive provisions favor the transfer of jurisdiction to the
tribal court upon request and mandate allowance of intervention by
the tribe in state juvenile proceedings.
?In
any State court proceeding for the foster care placement of,
or termination of parental rights to, an Indian child not
domiciled or residing within the reservation of the Indian child's
tribe, the court, in the absence of good cause to
the contrary, shall
transfer such proceeding to the jurisdiction of the tribe,
absent objection by either parent, upon the petition of either
parent or the Indian custodian or the Indian child's tribe:
Provided,
That such transfer shall be subject to declination by the
tribal court of such tribe.?
(25
U.S.C. §
1911(b),
first italics added, second italics original.)
?In
any State court proceeding for the foster care placement of,
or termination of parental rights to, an Indian child, the
Indian custodian of the child and the
Indian child's tribe shall have a right to intervene at
any point in the proceeding.?
(25 U.S.C. §
1911(c),
italics added.)
Tribal
court orders must be given full faith and credit.
?The
United States, every State, every territory or possession of the
United States, and every Indian tribe shall give full faith
and credit to the public acts, records, and judicial proceedings
of any Indian tribe applicable to Indian child custody proceedings
to the same extent that such entities give full faith
and credit to the public acts, records, and judicial proceedings
of any other entity.?
(25
U.S.C. §
1911(d).)
**330
When termination of parental rights is sought and the ICWA
applies, specific evidentiary requirements must be met.
?No
termination of parental rights may be ordered in such proceeding
[involving an Indian child] 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
U.S.C. §
1912(f).)
In
this case, it is undisputed that Vincent is an Indian
child, since both the Turtle Mountain Chippewa tribe and the
BIA have certified that Vincent is a *1260
member of the Turtle Mountain Chippewa tribe.
Thus, it would appear to be a straightforward proposition that
the ICWA applies.
However, the juvenile court found that the ICWA was inapplicable,
and the court did not comply with any of the
ICWA's substantive provisions.
The juvenile court did not consider transferring jurisdiction to the
tribal court, did not credit the tribal court's order taking
jurisdiction over Vincent, and did not consider allowing the tribe
to intervene in the juvenile court proceedings.
The juvenile court also did not apply the ICWA's strict
evidentiary requirements at the section 366.26 hearing.
The
juvenile court premised its refusal to apply the ICWA's substantive
requirements on a controversial judicially created exception to the ICWA
that has become known as the ?existing
Indian family doctrine.?
We turn to an examination of the validity of this
doctrine.
B.
The
Existing Indian Family Doctrine:
From
1982 to 1999
The
existing Indian family doctrine is generally believed to have originated
in a 1982 decision of the Kansas Supreme Court.
That court, relying on its interpretation of Congress's intent in
adopting the ICWA, held that the ICWA was inapplicable if
the child was not removed from an existing Indian ?environment.?
(In
re Suzanna L.
(2002) 104 Cal.App.4th 223, 233, 127 Cal.Rptr.2d 860 (Suzanna
);
Adoption
of Lindsay C.
(1991) 229 Cal.App.3d 404, 409-410, 280 Cal.Rptr. 194 (Lindsay
).)
Since 1982, some state courts have adopted the Kansas court's
position on this issue, while others have rejected it. (Lindsay,
at pp. 410-411, 413, 280 Cal.Rptr. 194.)
California Courts of Appeal have split on the issue.
In
Mississippi
Band of Choctaw Indians v. Holyfield
(1989) 490 U.S. 30, 109 S.Ct. 1597, 104 L.Ed.2d 29
(Holyfield
),
the United States Supreme Court construed the meaning of the
provisions of the ICWA which grant a tribal court exclusive
jurisdiction over proceedings involving the custody of Indian children domiciled
on the reservation.
The children had been born at a distant hospital that
was not on the reservation to tribe member parents who
lived on the reservation.
The parents immediately surrendered the children for adoption by a
non-Indian family.
(Holyfield,
at pp. 32, 37, 42, 109 S.Ct. 1597.)
The tribe sought to invalidate the adoption decree on the
ground that its tribal court had exclusive jurisdiction under the
ICWA because the children were domiciled on the reservation.
(Holyfield,
at p. 38, 109 S.Ct. 1597.)
The
United States Supreme Court framed the issue as whether Congress
had intended for ?domicile?
to be determined by federal law or state law.
(Mississippi
Band of Choctaw Indians v. Holyfield, supra,
490 U.S. at p. 43, 109 S.Ct. 1597.)
The court found that Congress had not *1261
intended to rely on state law.
?Indeed,
the congressional findings that are a part **331
of the statute demonstrate that Congress perceived the States and
their courts as partly responsible for the problem it intended
to correct.?
(Holyfield,
at p. 45, 109 S.Ct. 1597.)
?[The]
main effect of [the ICWA] is to curtail state authority.?
(Holyfield,
at p. 45, fn. 17, 109 S.Ct. 1597.)
The court concluded that the children were domiciled on the
reservation.
?Tribal
jurisdiction under §
1911(a)
was not meant to be defeated by the actions of
individual members of the tribe, for Congress was concerned not
solely about the interests of Indian children and families, but
also about the impact on the tribes themselves of the
large numbers of Indian children adopted by non-Indians.
[Citations.]
The numerous prerogatives accorded the tribes through the ICWA's substantive
provisions, e.g., §§
1911(a)
(exclusive jurisdiction over reservation domiciliaries), 1911(b) (presumptive jurisdiction over nondomiciliaries),
1911(c) (right of intervention), 1912(a) (notice), 1914 (right to petition
for invalidation of state-court action), 1915(c) (right to alter presumptive
placement priorities applicable to state-court actions), 1915(e) (right to obtain
records), 1919 (authority to conclude agreements with States), must, accordingly,
be seen as a means of protecting not only the
interests of individual Indian children and families, but also of
the tribes themselves.?
(Holyfield,
at p. 49, 109 S.Ct. 1597.)
The
United States Supreme Court invalidated the adoption decree notwithstanding the
fact that the three-year-old children had lived their entire lives
with the adoptive parents.
?We
are not unaware that over three years have passed since
the twin babies were born and placed in the Holyfield
home, and that a court deciding their fate today is
not writing on a blank slate in the same way
it would have in January 1986.
Three years' development of family ties cannot be undone, and
a separation at this point would doubtless cause considerable pain.
[¶]
Whatever feelings we might have as to where the twins
should live, however, it is not for us to decide
that question.
We have been asked to decide the legal question of
who
should make the custody determination concerning these children-not what the
outcome of that determination should be.
The law places that decision in the hands of the
Choctaw tribal court.
Had the mandate of the ICWA been followed in 1986,
of course, much potential anguish might have been avoided, and
in any case the law cannot be applied so as
automatically to ?reward
those who obtain custody, whether lawfully or otherwise, and maintain
it during any ensuing (and protracted) litigation.?
[Citation.]
It
is not ours to say whether the trauma that might
result from removing these children from their adoptive family should
outweigh the interest of the Tribe-and perhaps the children themselves-in
having them raised as part of the Choctaw community.
Rather, ?we
must defer to the experience, wisdom, and compassion of the
[Choctaw] tribal courts to fashion an appropriate remedy.?
?
(Mississippi
Band of Choctaw Indians v. Holyfield, supra,
490 U.S. at pp. 53-54, 109 S.Ct. 1597.)
*1262
After Holyfield,
California Courts of Appeal continued to be divided on the
validity of the existing Indian family doctrine.
The Third District rejected the existing Indian family doctrine in
1990.
?Limiting
the Act's applicability solely to situations where nonfamily entities physically
remove Indian children from actual Indian dwellings deprecates the very
links-parental, tribal and cultural-the Act is designed to preserve.?
(In
re Crystal K.
(1990) 226 Cal.App.3d 655, 666, 276 Cal.Rptr. 619 [application of
the ICWA's substantive provisions in a stepparent adoption case].)
The First District rejected the existing Indian family doctrine in
1991.
(Adoption
of **332
Lindsay C., supra,
229 Cal.App.3d 404, 416, 280 Cal.Rptr. 194 [application of the
ICWA's notice provisions in a stepparent adoption case].)
On
the other hand, the Second District accepted a version of
the existing Indian family doctrine in 1996 in In
re Bridget R.
(1996) 41 Cal.App.4th 1483, 49 Cal.Rptr.2d 507 (Bridget
).
Bridget
is the primary California case supporting the existing Indian family
doctrine.
Bridget
involved the application of the ICWA's substantive provisions in a
voluntary relinquishment case.
(Bridget,
at p. 1491, 49 Cal.Rptr.2d 507.)
The parents' voluntary relinquishment of the children at birth had
not complied with the ICWA's substantive provisions, and the tribe
sought to intervene.
The Second District held that recognition of the existing Indian
family doctrine was ?necessary
in a case such as this in order to preserve
ICWA's constitutionality?
under the United States Constitution.
(Bridget,
at p. 1492, 49 Cal.Rptr.2d 507.)
Acknowledging Holyfield,
the Second District conceded that the existing Indian family doctrine
could not apply simply because the
child
lacked ties to the tribe, but it held that this
doctrine did apply when both
the child and the parents
lacked ties to the tribe.
(Bridget,
at pp. 1500-1501, 49 Cal.Rptr.2d 507.)
The
Second District identified the primary foundation for the existing Indian
family doctrine as the child's federal due process right to
a stable home.
?The
intent of Congress in enacting ICWA was to ?protect
the best interests of Indian children,?
as well as ?promote
the stability and security of Indian tribes and families.?
(25
U.S.C. §
1902.)
These two elements of ICWA's underlying policy are in harmony
in the circumstance in which ICWA was primarily intended to
apply-where nontribal public and private agencies act to remove Indian
children from their homes and place them in non-Indian homes
or institutions.
(See
25 U.S.C. §
1901(4).)
But in cases such as this one, where, owing to
noncompliance with ICWA's procedural requirements, ICWA's remedial provisions are invoked
to remove children from adoptive families to whom the children
were
voluntarily given by the biological parents,
the harmony is bound to be strained.
Indeed, in circumstances of this kind, the interests of the
tribe and the biological family may be in direct conflict
with the children's strong needs, which we find to be
constitutionally protected, to remain through their developing years in one
stable and loving home.?
(In
re Bridget R., supra,
41 Cal.App.4th at p. 1502, 49 Cal.Rptr.2d 507.)
*1263
The Second District held that the child's federal constitutional right
precluded the application of the ICWA. ?Legislation
which interferes with the enjoyment of a fundamental right is
unreasonable under the due process clause and must be set
aside or limited unless such legislation serves a compelling public
purpose and is necessary to the accomplishment of that purpose.
In other words, such legislation would be subject to a
strict scrutiny standard of review.?
(In
re Bridget R., supra,
41 Cal.App.4th at p. 1503, 49 Cal.Rptr.2d 507.)
Since the tribe's interest was not constitutionally protected, and, in
the Second District's view, the ICWA was not narrowly tailored
under the circumstances before it, the ICWA could not be
constitutionally applied.
(Bridget,
at p. 1507, 49 Cal.Rptr.2d 507.)
Essentially, the Second District held that the ICWA could not
be constitutionally applied where the ?biological
parents do not have a significant social, cultural or political
relationship with an Indian community.?
(Bridget,
at p. 1507, 49 Cal.Rptr.2d 507.)
The
Second District also offered two alternative justifications for its holding
**333
that the ICWA would be unconstitutional as applied unless limited
by the existing Indian family doctrine.
One alternative justification was that the ICWA violated the Indian
child's right to equal protection.
The court asserted that the ICWA treated Indian children differently
solely due to their ?race.?
(In
re Bridget R., supra,
41 Cal.App.4th at p. 1508, 49 Cal.Rptr.2d 507.)
Since racial classifications were subject to strict scrutiny, and the
court had already determined that the ICWA was not narrowly
tailored, the ICWA's constitutionality could be preserved only by limiting
its application to existing Indian families.
(Bridget,
at pp. 1508-1510, 49 Cal.Rptr.2d 507.)
The other alternative justification was that the Tenth Amendment prohibited
Congress from invading this traditional province of state legislation.
(Bridget,
at pp. 1510-1511, 49 Cal.Rptr.2d 507.)
In
1996, the Fourth District accepted the existing Indian family doctrine
in In
re Alexandria Y.
(1996) 45 Cal.App.4th 1483, 53 Cal.Rptr.2d 679 (Alexandria
),
a case in which the child had been removed at
birth.
The Fourth District agreed with most of the Second District's
reasoning in Bridget,
though it expressed the belief, in dictum, that the Second
District had wrongfully limited the existing Indian family doctrine to
those situations where both
the child and
the parents lacked ties to the tribe.
?[W]hether
there is an existing Indian family is dependent on the
unique facts of each situation.?
(Alexandria,
at p. 1493, 53 Cal.Rptr.2d 679.)
In
1997, in Crystal
R. v. Superior Court, supra,
59 Cal.App.4th 703, 69 Cal.Rptr.2d 414, a panel of this
court accepted the existing Indian family doctrine based on a
legislative intent rationale similar to that employed by the Kansas
court in 1982.
In
1998, the Fifth District rejected the existing Indian family doctrine
in In
re Alicia S.
(1998) 65 Cal.App.4th 79, 76 Cal.Rptr.2d 121.
*1264
C.
California
Legislature's 1999 Enactment of AB 65
In
September 1999, Assembly Bill 65 (AB 65) was enacted as
urgency legislation creating Welfare and Institutions Code section 360.6.FN8
This
statute provides that ?[a]
determination by an Indian tribe that an unmarried person, who
is under the age of 18 years, is either (1)
a member of an Indian tribe or (2) eligible for
membership in an Indian tribe and a biological child of
a member of an Indian tribe shall
constitute a significant political affiliation with the tribe and shall
require the application of the federal Indian Child Welfare Act
to the proceedings.?
(Former
Welf. & Instit.
Code, §
360.6,
subd. (c);
Welf.
& Instit.
Code, §
224,
subd. (c), italics added.)
FN8.
Section
360.6 was repealed as of January 1, 2007, and the
substance of section 360.6 was enacted as section 224.
All references to former section 360.6 should be understood to
refer to current section 224.
(Stats.2006,
ch. 838, §§
29,
47.)
The
Legislature's intent in enacting AB 65 was to ?[p]rohibit[
]
the court from using the ?existing
Indian family doctrine?
in determining the best foster care or adoption placement for
an Indian child and require[
]
application of the federal Indian Child Welfare Act (ICWA) for
all Indian children, thereby requiring the court to follow the
placement preferences set forth in ICWA rather than [follow] the
placement preferences otherwise set forth in state law.?
(Assem.
Com.
on Judiciary, Analysis of Assem.
Bill No. 65 (1999-2000 Reg. Sess.) as amended Apr. 27,
1999, p. 1.) The legislative analysis of AB 65 extensively
discussed the split in California's Courts of Appeal, and it
explained that AB 65 was intended to abrogate the holdings
**334
in those cases that recognized the existing Indian family doctrine.
(Ibid.)
D.
California
Cases Since 1999
In
2001, the Second District reaffirmed its acceptance of the existing
Indian family doctrine in In
re Santos Y.
(2001) 92 Cal.App.4th 1274, 112 Cal.Rptr.2d 692 (Santos
).
It reiterated Bridget's
analysis and rejected the suggestion that the Legislature's enactment of
Welfare and Institutions Code section 360.6 had changed anything.
?While
jurisdiction over matters of family relations is traditionally reserved to
the states, California has no independent state interest with respect
to the family relations of members of federally recognized Indian
tribes.
It is Congress that has a constitutionally based and unique
relationship with federally recognized Indian tribes (U.S. Const., art.
I, §
8,
cl.3), not the states.
[¶]
To the extent that section 360.6 may be deemed to
be an incorporation by reference of the ICWA, the issue
[with regard to due process and equal protection] remains *1265
that of whether the ICWA embodies a compelling state interest
that is closely tailored to the purpose of Congress's enactment
as applied to this child.?
(Santos,
at p. 1317, 112 Cal.Rptr.2d 692.)
?Section
360.6 [also] does not avoid a Tenth Amendment violation.
The incorporation by reference of the ICWA in section 360.6
cannot convert the ICWA into an exercise of California's reserved
power to legislate regarding family relations, because the legislation singles
out the family relations of members of federally recognized Indian
tribes, a subject over which the State of California lacks
reserved power.
(U.S. Const., art.
I, §
8,
cl.3.)?
(Santos,
at pp. 1322-1323, 112 Cal.Rptr.2d 692.)
In
2006, the Third District again rejected the existing Indian family
doctrine in In
re Adoption of Hannah S.
(2006) 142 Cal.App.4th 988, 48 Cal.Rptr.3d 605 (Hannah
),
a stepparent adoption case.
(Hannah,
at p. 996, 48 Cal.Rptr.3d 605.)
Neither
the United States Supreme Court nor the California Supreme Court
has yet addressed the issue of the validity of the
existing Indian family doctrine.
E.
Our
Analysis
[1]
An
unambiguous federal statute and an unambiguous state statute require the
application of the ICWA's substantive provisions whenever the proceedings involve
an Indian child.
The plain language of these statutes precludes the existence of
an exception where there is no existing Indian family.
Still, the California Courts of Appeal remain in conflict over
whether the ICWA applies in the absence of an existing
Indian family.
Bridget
remains the leading California case in support of the validity
of the existing Indian family doctrine.
[2]
In
our view, the Second District's decision in Bridget,
which was primarily based on due process, is unconvincing because
it struggled and failed to find any basis for the
child's purported federal
constitutional right
to remain
in a stable home.
Bridget
relied heavily on a snippet from a California Supreme Court
decision.
?Children,
too, have fundamental rights-including the fundamental right to be protected
from neglect and to ?have
a placement that is stable [and] permanent.?
(In
re Marilyn H. [
(1993)
]
supra,
5 Cal.4th [295] at p. 306, 19 Cal.Rptr.2d 544, 851
P.2d 826;
see
also Cynthia
D. v. Superior Court [
(1993)
]
supra,
5 Cal.4th [242] at p. 253, 19 Cal.Rptr.2d 698, 851
P.2d 1307;
In
re Angelia P.
(1981) 28 Cal.3d 908, 919 [171 Cal.Rptr. 637, 623 P.2d
198];
In
re Albert B.
(1989) 215 Cal.App.3d 361, 377 [263 Cal.Rptr. 694].)
Children are not simply chattels belonging to the parent, but
have fundamental interests of their **335
own that may diverge from the interests of the parent.?
(In
re Jasmon O.
(1994) 8 Cal.4th 398, 419, 33 Cal.Rptr.2d 85, 878 P.2d
1297 (Jasmon
).)
*1266
Jasmon
provides no support for Bridget's
supposition.
A ?fundamental
right?
or ?fundamental
interest?
is not necessarily a federal
constitutional right.
The California Supreme Court has never
held,
in Jasmon
or elsewhere, that a child has a federal
constitutional right
to a stable placement.
Although the California Supreme Court's opinion in Jasmon
includes a single use of the phrase ?the
child's constitutional and statutory interest in stability?
(In
re Jasmon O., supra,
8 Cal.4th at p. 421, 33 Cal.Rptr.2d 85, 878 P.2d
1297), the California Supreme Court's use of this phrase was
dictum and provides no support whatsoever for the Second District's
creation of a previously unrecognized federal
constitutional right
to a stable home.
Our
society would undoubtedly benefit if every citizen, whether child or
adult, could be guaranteed a stable home, and, in addition,
adequate food, education, and health care.
The judiciary, however, is not the body that has been
delegated the task of ensuring that basic human needs are
met.
Courts lack the power to create new federal constitutional rights,
even if such rights might enhance the health and happiness
of the citizenry.
Children clearly have important rights, and a child obviously has
a strong interest
in remaining in a stable home.
This is precisely why our state's statutory scheme is designed
to protect a child's interest in remaining in a stable
home.
However, we can find no federal constitutional basis for elevating
a child's interest in remaining in a stable home above
all federal and state laws.
We reject Bridget's
due process premise for the existing Indian family doctrine.
Nor
do we find any support for Bridget's
holding in the alternative federal constitutional bases that it cited
for its acceptance of the existing Indian family doctrine.
There is no equal protection violation in the application of
the ICWA's provisions to Indian children, even where those children
are not part of an existing Indian family.
In Morton
v. Mancari
(1974) 417 U.S. 535, 94 S.Ct. 2474, 41 L.Ed.2d 290
(Morton
),
the United States Supreme Court upheld, against an equal protection
challenge, a federal law favoring Indians in employment at the
BIA. ?The
preference, as applied, is granted to Indians not as a
discrete racial group, but, rather, as members of quasi-sovereign tribal
entities whose lives and activities are governed by the BIA
in a unique fashion.?
(Morton,
at p. 554, 94 S.Ct. 2474.)
The court discounted the idea that this was a ?racial?
preference.
?The
preference is not directed towards a ?racial?
group consisting of ?Indians';
instead,
it applies only to members of ?federally
recognized?
tribes.
This operates to exclude many individuals who are racially to
be classified as ?Indians.?
In this sense, the preference is political rather than racial
in nature.?
(Morton,
at p. 554, fn. 24, 94 S.Ct. 2474.)
?As
long as the special treatment can be tied rationally to
the fulfillment of Congress' unique obligation toward the Indians, such
legislative judgments will not be disturbed.
Here, where the preference is reasonable and rationally designed to
further Indian self-government, we cannot say that Congress' classification violates
due process.?
(Morton,
at p. 555, 94 S.Ct. 2474.)
[3][4]
*1267
As in Morton,
the ICWA does not apply to ?
individuals who are racially to be classified as ?Indians'
?
but limits its scope to those children who are members
of, or eligible for membership in, a federally recognized tribe.
The ICWA recognizes the political affiliation that follows from tribal
membership in a federally recognized tribe, rather than a racial
or ancestral**336
Indian origin, and therefore does not discriminate on a
racial basis.
Because the ICWA does not classify children based on race,
its provisions are not subject to strict scrutiny, and they
need not be narrowly tailored.
Even Bridget
conceded that the ICWA is designed to serve a significant
governmental interest, and Congress's codified statement of its intent coupled
with the United States Supreme Court's citation of that intent
with approval in Holyfield
demands a finding that there is a rational basis for
the ICWA's provisions.
[5]
We
cannot credit Bridget's
claim that the ICWA violates the Tenth Amendment, particularly in
the wake of former Welfare and Institutions Code section 360.6
(now Welfare and Institutions Code section 224).
?The
powers not delegated to the United States by the Constitution,
nor prohibited by it to the States, are reserved to
the States respectively, or to the people.?
(U.S. Const., 10th Amend.)
Article
I, section 8 of the United States Constitution grants Congress
the power ?[t]o
regulate Commerce with foreign Nations, and among the several States,
and with the Indian Tribes.?
Even if Congress's power to ?regulate
Commerce ...
with the Indian Tribes?
did not include the power to enact the ICWA, the
only result would be that the power to adopt the
ICWA was reserved to the states.
By enacting former Welfare and Institutions Code section 360.6, California
utilized that reserved power.
The Tenth Amendment presents no obstacle to the application of
the ICWA through former Welfare and Institutions Code section 360.6
and current Welfare and Institutions Code section 224.
[6]
The
theme that runs through many of the cases that accept
the existing Indian family doctrine and refuse to apply the
ICWA is the concern that the Indian child may be
removed from a placement in which he or she has
been thriving for a lengthy period of time.
While we share that concern, we do not believe that
the remedy these cases apply is lawful or even necessary.
The application of the ICWA does not necessarily mean that
a child will be removed from his or her placement.
What it does mean is
that the child's tribe will, at the very least, be
given the opportunity to have input into the juvenile court's
decision.
We decline to presuppose that the tribe will lack sensitivity
to the child's interests.
We
do not share the juvenile court's skepticism of the tribe's
motivations nor can we countenance the court's statements blaming the
tribe for the situation that it found itself facing.
If responsibility for this situation is to be laid at
anyone's door, it must be at the door of the
Agency.
The Agency placed Vincent in a foster/adoptive home within a
month of his detention even though the Agency had been
immediately informed by mother of her *1268
Indian heritage.
It was the Agency that sent inadequate ICWA notices, which
necessitated the many delays caused by the first appeal.
And it was the Agency that opposed the application of
the ICWA more than a year ago after it had
been indisputably established that Vincent was an Indian child.
?Had
the mandate of the ICWA been followed [long ago], of
course, much potential anguish might have been avoided, and in
any case the law cannot be applied so as automatically
to ?reward
those who obtain custody, whether lawfully or otherwise, and maintain
it during any ensuing (and protracted) litigation.?
[Citation.]
It
is not ours to say whether the trauma that might
result from removing [Vincent] from [his prospective] adoptive family should
outweigh the interest of the Tribe-and perhaps the children themselves-in
having them raised as part of the [Chippewa] **337
community.?
(Mississippi
Band of Choctaw Indians v. Holyfield, supra,
490 U.S. at pp. 53-54, 109 S.Ct. 1597.)
As
the application of the ICWA does not conflict with the
United States Constitution and is consistent with our state's statutes,
the juvenile court erred in refusing to apply the ICWA's
substantive provisions.
Our holding that the ICWA applies here obviates the need
to address the other contentions made by mother and father.
We reiterate that the application of the ICWA's substantive provisions
will not necessarily result in Vincent's removal from his current
placement.
That decision depends on what results from the tribe's intervention
or assumption of jurisdiction.
We must trust that the tribe will act in Vincent's
best interests, as the ICWA surely envisions it will.
III.
Disposition
The
juvenile court's order terminating parental rights is reversed.
On remand, the juvenile court shall apply the substantive provisions
of the ICWA.
I
CONCUR:
DUFFY,
J.BAMATTRE-MANOUKIAN, J., concurring.
In
1997, I authored Crystal
R. v. Superior Court
(1997) 59 Cal.App.4th 703, 69 Cal.Rptr.2d 414 (Crystal
R.),
in which this court joined several other California courts, as
well as courts of other states, in applying the existing
Indian family doctrine.
In Crystal
R.,
the mother, who was not of Indian heritage, had been
unable to overcome problems with drug addiction, and reunification services
had been terminated as to her.
The father had been incarcerated for most of seven-year-old Crystal's
life and he barely knew her.
He was one-half Haida Indian, but *1269
had never had any significant ties with his tribe or
with any Indian community.
Crystal had been living with her maternal aunt and uncle,
who had become her de facto parents and wished to
adopt her.
The aunt and uncle had provided the only constant and
continuing source of stability in Crystal's life and she had
become part of their family.
In these circumstances, we found that applying the provisions of
the Indian Child Welfare Act (ICWA), including its placement preferences
and more stringent evidentiary requirements, would not further the Act's
purpose to protect and preserve the Indian family.
In
our analysis in Crystal
R.
we endeavored to balance the various interests and policy considerations,
including ?Crystal's
interest in achieving permanency in her family life, the interests
of the biological parents in maintaining the family relationship and
the tribe's interest in preserving Indian culture.?
(Crystal
R., supra,
59 Cal.App.4th at p. 718, 69 Cal.Rptr.2d 414.)
We began with ?the
conviction that the child's best interests must be the paramount
concern in custody proceedings.?
(Ibid.)
As our California Supreme Court observed in In
re Jasmon O.
(1994) 8 Cal.4th 398, 33 Cal.Rptr.2d 85, 878 P.2d 1297,
children ?have
fundamental rights-including the fundamental right to be protected from neglect
and to ?have
a placement that is stable [and] permanent.?
[Citations.]
Children
are not simply chattels belonging to the parent, but have
fundamental interests of their own that may diverge from the
interests of the parent.?
(Id.
at p. 419, 33 Cal.Rptr.2d 85, 878 P.2d 1297.)
In a dependency proceeding, the interests of the parent and
the child begin to diverge at the stage when the
parents have been provided services but have failed to correct
the problems that precipitated the agency's intervention.
At that point, as occurred in Crystal
R.,
the focus must shift from reuniting the biological family to
promoting the child's interest in **338
an appropriate permanent placement.
Crystal had found a home with her aunt and uncle
where she had been living for most of four years
and where, by all accounts, she was thriving.
Her interests in becoming a permanent part of this family,
we found, were strong and took precedence over the rights
of the biological parents, who had failed to demonstrate their
fitness as caretakers.
In
regard to the tribe's interest at this juncture, we observed:
?Where
the state court proceeding has reached the point at which
reunification has failed and the child's interests in permanent placement
outweigh the interests of the parents, we believe it is
appropriate for the court to examine the strength of the
tribe's interests in protecting Indian cultural ties.
If the evidence shows that such ties have become so
attenuated as to be virtually nonexistent, it makes little sense
to bring the requirements of the ICWA to bear on
the proceedings.
Not only does the application of the ICWA in such
circumstances work against the best interests of the child, who
is poised to move forward with his or her life
as part of a stable family unit, it does nothing
to further the purpose of preserving ?the
unique values of Indian culture.?
?
(Crystal
R., supra,
59 Cal.App.4th at p. 720, 69 Cal.Rptr.2d 414.)
In Crystal
R.,
the parent *1270
seeking to invoke the protections of the Indian Child Welfare
Act had no significant relationship either with the tribe or
with the child.
The father had never lived in Alaska, where his tribe
was located, and had indicated he had no intention of
moving there.
He was not an enrolled member of the tribe when
Crystal was born, but had enrolled only after the dependency
proceeding had commenced and he had received notice from the
agency.
Crystal had never been part of an Indian family.
We
next examined the Legislative history of the ICWA and found
that it reflected a concern by Congress that state agencies
with little understanding of Indian culture and home life were
acting to remove Indian children from their families and tribes.
In enacting the ICWA, Congress sought to protect these families
and ?to
preserve the cultural values underlying Indian home life.
Preservation of the Indian family was thus ?an
integral purpose of the ICWA from its inception.?
[Citation.]
Consistent
with this purpose, the language of the Act repeatedly refers
to the preservation of the Indian family, the breakup of
the Indian family, and the removal of Indian children from
their Indian parents or custodians.?
(Crystal
R., supra,
59 Cal.App.4th at p. 722, 69 Cal.Rptr.2d 414.)
We agreed with courts that had found that the ICWA
was not intended to apply where the preservation of an
Indian family or environment was not at stake.
(Ibid.)
We found that applying the existing Indian family doctrine in
the circumstances of Crystal's case did not undermine the purposes
of the Act. Rather, ?requiring
an existing Indian family as a condition of applying the
Act promotes the specific goals Congress sought to achieve.
It ensures that a child's ties with his or her
Indian parents and with the tribe are protected and preserved
where
such ties exist.
[Citation.]
In
the absence of such ties, the doctrine ensures that the
invocation of the Act's protections will not be abused and
that state law will operate to protect the best interests
of the child.?
(Ibid.)
In
the case before us now, the trial court relied on
Crystal
R.
and the balancing test set forth in our analysis in
determining that the existing Indian family doctrine precluded the application
of the requirements of the ICWA in Vincent's dependency proceeding.
I believe this was error, for two reasons.
**339
First, in Crystal
R.,
we endorsed a limited application of the doctrine in cases
where neither the parents nor the child have significant demonstrable
ties with tribal culture.
In Vincent's case, as the majority opinion has summarized, the
family has significant ties with Indian culture.
The mother had lived on an Indian reservation both before,
during and after Vincent's birth;
at
the time of his birth, she was living with her
Indian cousins on a reservation;
she
was an enrolled member of a tribe;
she
had participated in various tribal ceremonies;
Vincent
had been given both an Indian birth name and an
Indian ?character
name?;
Vincent
had participated in a special Indian *1271
ceremony when he was a baby and had been taught
the language by an elder of the tribe;
both
mother and father were living on the reservation at the
time of the hearing;
the
tribe took an active involvement in the proceedings;
and
various Indian family members who lived on the reservation offered
placement opportunities.
These circumstances distinguish the case before us now from Crstyal
R.,
where neither the parents nor the child had any demonstrable
ties to Indian culture.
Second,
in 1999, two years after the opinion in Crystal
R.
was filed, the Legislature enacted Welfare and Institutions Code section
360.6.
In doing so the Legislature indicated a clear intent to
prohibit state courts from using the existing Indian family doctrine
in all cases where placement of an Indian child is
at issue. It provides that if a child qualifies as
an Indian child under the ICWA, that in itself ?shall
constitute a significant political affiliation with the tribe and shall
require the application of the federal Indian Child Welfare Act
to the proceedings.?
(Welf.
& Inst.Code, §
360.6,
subd. (c).)
FN1
As
the majority notes, the legislative history of the bill enacting
Welfare and Institutions Code section 360.6 extensively discussed cases such
as Crystal
R.,
which had applied the existing Indian family doctrine, and explained
that the new law was intended to abrogate the holdings
in those cases.
While I still believe that the reasons supporting the existing
Indian family doctrine serve the best interests of the child
in some cases, by encouraging and promoting a ?
?placement
that is stable [and] permanent?
?
(In
re Jasmon O., supra,
8 Cal.4th at p. 419, 33 Cal.Rptr.2d 85, 878 P.2d
1297), I am constrained to defer to the clear legislative
intent of Welfare and Institutions Code section 360.6 to eliminate
this doctrine and to have courts apply the requirements of
the ICWA in all child custody cases where the child
is found to be an Indian child.
Where statutory language is clear, courts may not ?[l]egislate?
judicially.
(People
v. Redford
(1961) 194 Cal.App.2d 200, 206, 14 Cal.Rptr. 866.)
FN1.
This
section is now contained in Welfare and Institutions Code section
224, subdivision (c).
(Stats.2006,
ch. 838, §
29.)
Various provisions of the ICWA have now been codified in
California statutes, and the ICWA has been expressly extended to
adoption and guardianship proceedings.
(See
Welf. & Inst.Code, §§
224.1
through 224.6;
Fam.Code,
§
170.)
The intent of these recent enactments was to ?ensure
compliance with the federal Indian Child Welfare Act (ICWA).?
(Stats.2006,
ch. 838, §
56.)
For
these reasons, I would conclude that this case must be
returned to the trial court with directions to apply the
substantive provisions of the ICWA. I therefore concur in the
result reached by the majority.
I observe that the law in this area is still
unsettled and that the opinion we file today contributes to
a split of authority among California courts.
(See,
e.g., In
re Santos Y.
(2001) 92 Cal.App.4th 1274, 112 Cal.Rptr.2d 692 and Adoption
of Hannah S.
(2006) 142 Cal.App.4th 988, 48 Cal.Rptr.3d**340
605.)
I would therefore respectfully invite *1272
the California Supreme Court to review and resolve this issue
and to provide guidance to courts and practitioners, as well
as to the families themselves, in this most important area
of the law.
Cal.App.
6
Dist.,2007.
In
re Vincent M.
150
Cal.App.4th 1247, 59 Cal.Rptr.3d 321, 07 Cal. Daily Op. Serv.
5507, 2007 Daily Journal D.A.R. 7046
|