In re Children of Shirley T.
In re Children of Shirley T.
Opinion
[¶ 1] Shirley T. and David W. appeal from an order of the District Court (Portland,
Powers, J.
) denying their and the Oglala Sioux Tribe's motions to transfer jurisdiction of this child protection matter to the Oglala Sioux Tribal Court pursuant to the Indian Child Welfare Act of 1978 (ICWA),
I. BACKGROUND
[¶ 2] There are two children at issue in this consolidated child protection matter-the son (the son) of Shirley T. (the mother) and David W. (the father), and Shirley T.'s niece (the niece), for whom Shirley T. has served as legal guardian since 2011. 1 On July 21, 2016, the Department of Health and Human Services initiated child protection proceedings as to both children in the District Court (Bridgton) with allegations involving substance abuse, domestic violence, insufficient supervision, mental health issues, the unexplained death of another of the mother's children, verbal and physical aggression toward the children, the father's prior conviction for sexual abuse of a minor, and the father's lack of involvement in the son's life. 2 The court ( MG Kennedy, J. ) granted preliminary protection orders that day placing the children in Department custody.
[¶ 3] The mother waived her right to a summary preliminary hearing as to both children and later agreed to the entry of a jeopardy order by the court (
Powers, J.
) based on her substance abuse and mental health issues. The father also agreed to the entry of a jeopardy order as to the son on grounds that the father was convicted of sexual abuse of a minor in 2006, resides on the Tribe's reservation in South Dakota, and has not had contact with the son for several years.
3
In the jeopardy proceedings, the court also determined that ICWA applies to both matters because the children are, or are eligible to become, registered members of the Oglala Sioux Tribe of South Dakota.
See
[¶ 4] In December of 2017, the mother, the father, and the Tribe (as an interested party) requested that the matter be transferred to the jurisdiction of the Tribal Court in South Dakota pursuant to ICWA; the Tribe also filed an order from the Tribal Court accepting jurisdiction as to both children.
[¶ 5] The court conducted a testimonial hearing on the motions to transfer jurisdiction, at which both children, the niece's counselor, the niece's foster mother, the son's foster father (who is the father of the son's half-siblings), the Department supervisor, the guardian ad litem (GAL), a qualified ICWA expert, and the Tribe's ICWA technician testified. The Department, the GAL, both children, and the ICWA expert opposed the transfer. By order dated April 13, 2018, the court made the following findings of fact, which are supported by competent evidence presented at the motion hearing.
[¶ 6] The son was thirteen years old at the time of the hearing and lives with the father of his three half-siblings, who are also Indian children. The son is happy in this household and wishes to stay. The son's biological father has never been active in the son's life.
[¶ 7] The niece, who was twelve years old at the time of the hearing, was born in South Dakota but moved to Maine at a young age. The niece lived with the mother since at least 2011, but was placed in foster care from 2015 to March of 2016 and again in July of 2016. She and the son go to the same school and interact there; the niece also maintains a close relationship with the rest of her cousins-the son's half-siblings-who live in the area with their father.
[¶ 8] The niece has been in counseling since 2015, with a short break in 2016. She has disclosed to her counselor a history of various forms of significant abuse, some of which occurred when she was young and living on the reservation in South Dakota. The niece has developed a trusting relationship with her counselor, with whom she should continue working to process her grief from her traumatic history and to decrease her anxiety.
[¶ 9] Both children are doing well in their current placements, where they are growing up as part of their Indian family in Maine, that is, with strong ties to the son's half-siblings/the niece's cousins. They have also been exposed to Indian culture while living with the mother.
[¶ 10] The children were the subject of prior child protection proceedings initiated in 2014. During those proceedings, the Tribe also moved to transfer jurisdiction to the Tribal Court, but the mother opposed the transfer, and the court (Bridgton, Darvin, J. ) also found good cause to deny the requested transfer. The GAL opined that the mother's support of the motion to transfer in the present matter is premised on her wish to "circumvent the safety requirements of DHHS in the reunification process by enlisting intervention from the Oglala Sioux Tribal Court." The Tribe has no presence in Maine.
[¶ 11] The Department has been providing services to the children and their family for an extended period of time. The children have extensive connections to Maine, including education services. Thus, the court determined, "Most of the relevant people with knowledge of the children's lives, including teachers and counselors, are in the local Maine area." The niece's mother and the son's father live elsewhere, and they have had almost no interaction with the children. The court concluded, "The State of Maine courts and Maine [Department] with its consistent history of involvement with this family are in the best position to determine the issues presented for review in this case now and in the near future. All knowledgeable witnesses needed to adjudicate this case further are in southern Maine. It would be a relative hardship to the parties and interven[ors] were these cases moved almost 2,000 miles away despite any possible audio/video accommodations."
[¶ 12] On this basis, the court found, by clear and convincing evidence, that there was good cause to deny the transfer of jurisdiction to the Tribal Court. The mother and father each appealed as to the son, and the mother also appealed as to her niece. 4
II. DISCUSSION
[¶ 13] ICWA was enacted in 1978 to address concerns, among others, "that an 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 that an alarmingly high percentage of such children are placed in non-Indian foster and adoptive homes and institutions," and "that the States ... have often failed to recognize the essential tribal relations of Indian people and the cultural and social standards prevailing in Indian communities and families."
[¶ 14] Among ICWA's requirements are jurisdictional provisions for child custody proceedings regarding Indian children.
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.
The tribal court's jurisdiction is "presumptive[ ]" unless a parent objects, the tribe declines jurisdiction, or good cause to maintain the matter in the state court is established.
Miss. Band of Choctaw Indians v. Holyfield
,
[¶ 15] Here, there is no dispute that these are "child custody proceedings" to which ICWA applies,
[¶ 16] We interpret de novo section 1911-and, in particular, the good cause requirement-by first evaluating its plain language.
See
Curtis v. Medeiros
,
[¶ 17] The primary sources of aid in the interpretation and application of ICWA are the interpretive guidelines issued by the federal Bureau of Indian Affairs (BIA). Although not binding,
see
Indian Child Welfare Act Proceedings,
[¶ 18] The current version of the BIA guidelines was issued in 2016. U.S. Dep't of the Interior, Bureau of Indian Affairs, Guidelines for Implementing the Indian Child Welfare Act (Dec. 2016), https://www.bia.gov/sites/bia.gov/files/assets/bia/ois/pdf/idc2-056831.pdf [hereinafter 2016 Guidelines]. The 2016 Guidelines provide no examples of what constitutes good cause.
See
[¶ 19] Although the court issued some findings that superficially appear to regard the children's placement-their desire to remain in Maine, their substantial contacts to Maine, and the preservation of the children's familial relationships in Maine-a more fulsome review of the record establishes that the court's focus was instead the difficulty in the presentation of evidence that would occur if jurisdiction were transferred. 9 In its findings, the court expressly considered the availability of the witnesses-including the niece's counselor, both children's foster families, the Department caseworkers, the children's teachers, and the mother herself-and concluded that "[a]ll knowledgeable witnesses needed to adjudicate this case further are in southern Maine" and that a transfer of jurisdiction to the Tribal Court would therefore cause a "relative hardship" to the parties and the Tribe. The court also noted that the son's father, who lives in South Dakota, and the niece's mother, who lives in Texas, have played "virtually no parental role" in the children's lives-findings that are relevant to the court's determination that there are no witnesses outside Maine who have any significant knowledge of or testimony to offer about the children.
[¶ 20] The court further determined that "any possible audio/video accommodations" that would allow the presentation of Maine-based evidence to the Tribal Court in South Dakota did not mitigate the evidentiary burdens created by the 2,000 miles between the Maine court and the Tribal Court. Although the father points to the testimony of the Tribe's ICWA technician-that she is able to "reach out" to attorneys, including state attorneys-and of the GAL and the son's foster father-that they would be willing to speak with the Tribal Court by telephone-the court was not required to believe that evidence, even if uncontroverted and even if offered by an expert witness, nor was the court required to place any great weight on it.
See
Rice v. Cook
,
[¶ 21] Aside from its supported findings regarding the evidentiary hardships created by a transfer, the court's focus on the question of jurisdiction rather than placement is also demonstrated by a review of the motion hearing transcript itself. The transcript shows that the hearing was complicated by continuing attempts by the Department and the GAL to inject into the proceeding questions about the physical transfer of the children from Maine to South Dakota. Nevertheless, the court properly stressed over and over again that the question it had to address was whether jurisdiction should be transferred to the Tribal Court, not whether the children should be moved to South Dakota. For example, when the Department asked the niece's counselor, "Assume that [the niece] may be moved to the reservation.... Based on your work with [the niece], what impact would that have on her?" the court stated, "I don't think I can go down that road. This is an unusual statute but -- I mean, I think it directly relates to what could happen to her if placement was transferred." When the Assistant Attorney General pressed the court, arguing that "the Court is allowed to consider the impact on [the niece] if she is moved.... That's good cause. That's the basic issue before the Court," the court correctly declined to consider that factor.
[¶ 22] The court sustained the objections by the parents' attorneys to evidence regarding the mother's intent to take the children out of the country if the children are moved to the reservation, the niece's progress with her therapist and her future therapy goals, the niece's fears of being moved to South Dakota, whether the niece has had any contact with her proposed placement in South Dakota, whether the niece would suffer "any trauma related to being back in the process of a courtroom not in the State of Maine," the teen suicide rate on the reservation, whether the niece's current foster family is willing to continue with her placement, whether the son's foster father is willing to continue with his placement, whether the son's foster father is willing to continue to allow contact between the son and his half-siblings and the niece, "what the transition [of jurisdiction] looks like for the children," and the Department supervisor's testimony that it is "in the kids' best interest to remain where they are staying right now." The court concluded the hearing by noting, "Unusual case, as I said. Different law from what we're used to dealing with, a strongly worded law. Obviously [it] has, you know, intent clearly behind it, and you have to apply whatever the law is." The trial court thus expressly and correctly recognized, consistent with the 2016 Guidelines, that placement considerations are not a proper basis for determining good cause, and it made repeated rulings designed to maintain the proper focus of the hearing on the jurisdictional issues. 2016 Guidelines § F(5) at 50;
see
2015 Guidelines,
[¶ 23] Unlike placement considerations, the evidentiary hardships imposed by a transfer of jurisdiction
are
an acceptable basis for a finding of good cause. The BIA stated as much in its first iteration of ICWA guidelines in 1979 by setting out, as one example of an approved ground for finding good cause, that "[t]he evidence necessary to decide the case could not be adequately presented with the tribal court without undue hardship to the parties or the witnesses."
10
Guidelines for State Courts; Indian Child Custody Proceedings,
[¶ 24] Indeed, as the BIA stated in the 1979 Guidelines,
[¶ 25] Numerous other jurisdictions have held that "[g]ood cause to deny transfer of the proceedings to the tribal court may arise from geographical obstacles."
In re Interest of J.R.H.
,
[¶ 26] Here, the court's denial of the motion to transfer is fully supported by its findings and conclusions regarding the evidentiary burdens that would be imposed by the fact that all relevant witnesses and evidence are currently located in Maine. The court's analysis of the challenges posed by the geographic distance between the location of the Tribal Court and the location of all of the evidence about and the witnesses with information concerning these children is supported by ample evidence, contains no legal errors, and does not represent an abuse of discretion.
The entry is:
Judgment affirmed.
The Department has twice used a title 22 action to protect this child from her legal guardian. If the mother's guardianship of the niece is not in the niece's best interest, the Department should petition to terminate the guardianship pursuant to 18-A M.R.S. § 5-212 (2017).
The two matters were transferred to the District Court (Portland).
The court entered a jeopardy order as to the niece's mother after an evidentiary hearing. The niece's mother is not participating in this appeal, and the identity of the niece's father is unknown.
The two matters were consolidated on appeal. The Tribe is not participating in the appeal.
A tribal court has exclusive jurisdiction over a child custody proceeding regarding an Indian child "who resides or is domiciled within the reservation" or who is a ward of a tribal court.
Our consideration of this appeal does not conflict with our prior decisions holding that only jeopardy orders, termination of parental rights judgments, and medical treatment orders may be appealed pursuant to 22 M.R.S. § 4006 (2017).
See
In re L.R.
,
In 2016, the BIA promulgated a binding rule for interpreting ICWA in
Courts in some other jurisdictions have imported a best interest analysis into a good cause determination.
E.g.
,
In re Adoption of T.R.M.
,
ICWA is silent as to the burden and standard of proof applicable to transfers. Here, the District Court imposed on the Department, as the party opposing the transfer, the burden of establishing good cause by clear and convincing evidence. The imposition of this burden is supported by both the BIA Guidelines and decisions of other jurisdictions.
See
2016 Guidelines § F(5) at 49-50; Supplement to 2016 Rule,
No party has challenged the court's use of that standard, and we do not address it here, except to note that such a standard suggests that a court's decision as to good cause is a factual determination that would be reviewed for clear error.
See
Guardianship of Grenier
,
Other courts have employed the abuse of discretion standard in their review of good cause determinations.
See, e.g.
,
People ex rel. J.L.P.
,
Given the various components of a good cause determination, we apply a mixed standard of review in this case. As with other mixed questions of fact and law, including those in child and family matters, we consider issues of law de novo, review for clear error the court's underlying factual findings, and otherwise review the ultimate decision for an abuse of discretion.
See
Efstathiou v. Aspinquid, Inc.
,
We do not consider the fact that the BIA removed evidentiary hardship as an approved ground for finding good cause in issuing revised guidelines in 2015,
compare
2015 Guidelines,
We are also not persuaded by the mother's and father's contentions that the Department violated its obligation to disclose on the record its reasons for objecting to the motion to transfer. A plain language reading of the 2016 Guidelines supports the Department's contention that it was not required to disclose the basis of its objection in any particular manner or at any particular time other than "on the record or provided in writing," as it did during the motion hearing. 2016 Guidelines § F(5) at 49;
see also
We recognize that the denial of a motion to transfer jurisdiction as
forum non conveniens
is generally held to be an interlocutory appeal to which none of the exceptions to the final judgment rule applies.
See
Van Cauwenberghe v. Biard
,
In
MacLeod v. MacLeod
,
An interest to be considered, and the one likely to be most pressed, is the private interest of the litigant. Important considerations are the relative ease of access to sources of proof; availability of compulsory process for attendance of unwilling, and the cost of obtaining attendance of willing, witnesses; possibility of view of premises, if view would be appropriate to the action; and all other practical problems that make trial of a case easy, expeditious and inexpensive. There may also be questions as to the enforceability of a judgment if one is obtained. The court will weigh relative advantages and obstacles to fair trial. It is often said that the plaintiff may not, by choice of an inconvenient forum, "vex," "harass," or "oppress" the defendant by inflicting upon him expense or trouble not necessary to his own right to pursue his remedy. But unless the balance is strongly in favor of the defendant, the plaintiff's choice of forum should rarely be disturbed.
(Footnote omitted);
see
Corning v. Corning
,
Reference
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- In Re Children of Shirley T.
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- Status
- Published